Thomas L. Johnson

ROYAL CAPITAL WEALTH MANAGEMENT LLC

Carmel, IN

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CRD#: 1215434

Professional summary

Thomas Lee Johnson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Prior to being barred, Thomas has worked at 5 firms, which includes RBC CAPITAL MARKETS LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lee Johnson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 22, 2018 - Present

ROYAL CAPITAL WEALTH MANAGEMENT LLC

RIA

CRD#: 292217

Carmel, IN

Past

March 6, 2009 - December 26, 2017

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

INDIANAPOLIS, IN

Past

March 4, 2009 - December 26, 2017

RBC CAPITAL MARKETS, LLC

CRD#: 31194

INDIANAPOLIS, IN

Past

December 15, 1998 - March 26, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

INDIANAPOLIS, IN

Past

July 31, 1993 - March 26, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

INDIANAPOLIS, IN

Past

April 9, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 28, 1983 - April 3, 1992

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROYAL CAPITAL WEALTH MANAGEMENT LLC

CRD#: 292217 / SEC#: 801-113892

RIA

Registered Investment Advisory firm - (8/28/2018 Approved)

Indiana

Registered Investment Advisory firm - (9/19/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(1/22/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/24/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/12/1983

National Commodity Futures Examination

Current Firm

ROYAL CAPITAL WEALTH MANAGEMENT LLC

CRD#: 292217 / SEC#: 801-113892

RIA

Registered Investment Advisory firm - (8/28/2018 Approved)

Indiana

Registered Investment Advisory firm - (9/19/2018 Terminated)

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Contact information

Main Address

Carmel, IN

Mailing Address

4000 West 106th Street Suite 125-190, Carmel, IN 46032

Phone number

(866) 729-6552

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 RCWM FORM ADV PART 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	201
AUM (Assets Under Management)	$ 186,556,907

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas L. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lee Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ROYAL CAPITAL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/2012

Series 63

Date: 11/30/1983

SIE

Date: 12/26/2017

Series 7

Date: 11/19/1983

Series 3

Date: 10/12/1983

Current Firm

ROYAL CAPITAL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROYAL CAPITAL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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