Thomas Johnson, financial advisor Indianapolis IN
73 score

Thomas Johnson

CRD Number: 1215434
Current Firm: Rbc Capital Markets, LLC

Thomas Johnson (CRD# 1215434) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Indianapolis, IN and has over 33 years of experience in the finance industry.

Similar Advisors
Tod Utter, financial advisor Indianapolis IN
Tod M. Utter
CRD# 2807887
I4 Advisors LLC
Score
103
Similar Advisors
Martin Armbruster, financial advisor Indianapolis IN
Martin J. Armbruster
CRD# 1068568
Treybourne Wealth Planners
Score
101
Similar Advisors
Thomas Hardin, financial advisor Indianapolis IN
Thomas L. Hardin
CRD# 838414
Canterbury Investment Management, LLC
Score
101
Company Name Location Dates Years
Rbc Capital Markets Indianapolis, IN Mar 2009 - Current 7
Citigroup Global Markets Inc. Indianapolis, IN Jul 1993 - Mar 2009 15
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1983
S65 NASAA Investment Advisors Law Examination Feb 2012
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Thomas L. Johnson
Phone Number: 212-858-7000
Firm Website: https://www.rbccm.com
Registered State(s):
  • IN
By the Numbers
  • Total Assets Under Management
    76,274
    MILLIONS
  • Total Number of Accounts
    192,243
    ACCOUNTS
  • Average Account Value
    $396,757
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • 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, MA, 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

Ready to hire a financial advisor? Get competitive proposals from multiple advisors.
BADGES
73

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.