Thomas Hiram O'grady

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-01-03
NY	RA	APPROVED	2024-10-21

TX RA
APPROVED_RES

Since 2025-01-03
NY RA
APPROVED

Since 2024-10-21

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Oyster Bay	NY	01/2021	Present
Wells Fargo	Tallahassee	FL	07/2015	01/2019
Family Emergency	New York	NY	04/2019	07/2019
Enterprise Holdings Inc	Tallahassee	FL	07/2019	05/2020
Unemployed	Bayville	NY	04/2020	01/2021
Daytona State College	Daytona Beach	FL	08/2014	08/2019
University Of Florida	Gainesville	FL	08/2018	Present

01/2021 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oyster Bay, NY
07/2015 → 01/2019

Wells Fargo

Tallahassee, FL
04/2019 → 07/2019

Family Emergency

New York, NY
07/2019 → 05/2020

Enterprise Holdings Inc

Tallahassee, FL
04/2020 → 01/2021

Unemployed

Bayville, NY
08/2014 → 08/2019

Daytona State College

Daytona Beach, FL
08/2018 → Present

University Of Florida

Gainesville, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-10-18

S66 Uniform Combined State Law Examination

2024-10-18

Other Names

Thomas O'GRady

View on SEC IAPD