Thomas Brockley, financial advisor Albany NY

Thomas Brockley

CRD Number: 1449622
Current Firm: Rbc Capital Markets, LLC

Thomas Brockley (CRD# 1449622) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Albany, NY and has over 38 years of experience in the finance industry.

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Company Name Location Dates Years
City National Bank Albany, NY Jul 2016 - Current 7
Rbc Capital Markets, LLC Albany, NY Feb 2010 - Current 14
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1986
S65 NASAA Investment Advisors Law Examination Dec 1992
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Thomas E. Brockley
Phone Number: 212-858-7000
Registered State(s):
  • NY
  • TX
By the Numbers
  • Total Assets Under Management
    201,264
    MILLIONS
  • Total Number of Accounts
    451,404
    ACCOUNTS
  • Average Account Value
    $445,862
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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