Unclaimed Profile

Thomas Mccarthy Obrien

ASTOR INVESTMENT MANAGEMENT LLC·CHICAGO, Illinois

SIE, Series 7, Series 31, Series 63, Series 65, Series 66Clean record19 years registeredASTOR INVESTMENT MANAGEMENT LLC

111 S WACKER DRIVE, CHICAGO, IL 60606CRD# 5230392Firm CRD# 169679

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Mccarthy Obrien · CHICAGO, IL

Registration

CRD #5230392 · ASTOR INVESTMENT MANAGEMENT LLC · 19 years registered

Brand Profile

Not yet started

Career History

ROTHSCHILD INVESTMENT LLC

May 2025 – present

ROTHSCHILD WEALTH LLC

May 2025 – present

MORNINGSTAR INVESTMENT SERVICES LLC

Jan 2024 – May 2025

CHICAGO, IL

ASTOR INVESTMENT MANAGEMENT LLC

Jan 2018 – Jun 2022

CHICAGO, IL

ZACKS INVESTMENT MANAGEMENT, INC.

Jul 2007 – Jan 2011

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 31

Series 63

Series 65

Series 66

Registration record

First registered · July 4, 2007

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ASTOR INVESTMENT MANAGEMENT LLC

CRD 169679 · SEC 801-78794

AUM

$214M

Regulatory assets under management

Employees

458 client accounts

Services offered by ASTOR INVESTMENT MANAGEMENT LLC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

View all advisors at ASTOR INVESTMENT MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Thomas Mccarthy Obrien offer?

Thomas Mccarthy Obrien specializes in Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in CHICAGO, Illinois for a consultation.

What are Thomas Mccarthy Obrien's credentials?

Thomas Mccarthy Obrien is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Mccarthy Obrien located?

Thomas Mccarthy Obrien is based in CHICAGO, Illinois, working with ASTOR INVESTMENT MANAGEMENT LLC. Their office serves clients in the CHICAGO metropolitan area and surrounding communities.

How does Thomas Mccarthy Obrien charge for services?

Thomas Mccarthy Obrien's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ASTOR INVESTMENT MANAGEMENT LLC?

ASTOR INVESTMENT MANAGEMENT LLC has approximately 6 employees and manages $214M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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