Thomas Mccarthy Obrien

Current Employers

Employment History

• 04/2015 → 09/2016
  Dearborn Capital Management
  Chicago, IL
• 04/2015 → 09/2016
  Dcm Brokers, Llc
  Chicago, IL
• 09/2016 → 05/2022
  Astor Investment Management Llc
  Chicago, IL
• 11/2016 → 05/2022
  Northern Lights Distributors, Llc
  Elkhorn, NE
• 05/2022 → 08/2022
  Genesis Global Trading, Inc
  New York, NY
• 05/2022 → 08/2022
  Grayscale Securities, Llc
  Stamford, CT
• 09/2022 → 05/2025
  Morningstar Investment Services
  Chicago, IL
• 05/2025 → Present
  Rothschild Investments
  Oakbrook, IL
• 05/2025 → Present
  Rothschild Wealth Llc
  Oakbrook, IL

Previous Registrations

• 2024-01-09 → 2025-05-02
  Morningstar Investment Services Llc
  Chicago, IL
  Chicago, IL
  Chicago, IL
• 2018-01-02 → 2022-06-13
  Astor Investment Management Llc
  Chicago, IL
• 2007-07-04 → 2011-01-26
  Zacks Investment Management, Inc.
  Chicago, IL

Other Businesses

MR. O'BRIEN IS A SILENT EQUITY PARTNER OF TRAIN,LLC LOCATED AT 433 PENNSYLVANIA, GLEN ELLYN, IL 60137. TRAIN, LLC IS A PRIVATE WORKOUT FACILITY WHERE MR. O'BRIEN SERVES ON A SUB-COMMITTEE FOR RULES AND BYLAWS FOR ONE HOUR PER MONTH. THIS ACTIVITY IS NON-INVESTMENT RELATED. ROTHSCHILD WEALTH LLC INVESTMENT ADVISER INVESTMENT ADVISER REPRESENTATIVE SINCE 05/2025 INVESTMENT RELATED ROTHSCHILD INVESTMENTS BROKER DEALER REGISTERED REPRESENTATIVE SINCE 05/2025 INVESTMENT RELATED

Exams

• S66 Uniform Combined State Law Examination
  2017-12-18
• S63 Uniform Securities Agent State Law Examination
  2009-11-10
• S65 Uniform Investment Adviser Law Examination
  2007-07-02

Other Names

• Mac O'BRien
• Thomas Mccarthy O'BRien