JT
John S. Thoma
ROYAL FUND MANAGEMENT
Richmond, VA 23238
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CRD#: 1942428
JT
Professional summary
John Stephens Thoma is a registered financial advisor currently at ROYAL FUND MANAGEMENT, LLC located in Richmond, Virginia.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. John has worked at 11 firms and has passed the Series 65, Series 63 and Series 6 exams.
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.
1)THOMA FINANCIAL GROUP, INVESTMENT-RELATED, 2008 LIBBIE AVENUE, STE. 102, RICHMOND, VA 23226, INSURANCE SALES FOR MULTIPLE CARRIERS INCLUDING PENN MUTUAL LIFE INSURANCE COMPANY, AGENT, START DATE: NOVEMBER 2011, APPROX. NUMBER OF HOURS/MONTH: LESS THAN 10, THE NUMBER OF HOURS DEVOTED TO THE OUTSIDE BUSINESS ACTIVITY DURING SECURITIES TRADING HOURS: LESS THAN 10, DUTIES: LIFE, ANNUITY AND HEALTH RELATED INSURANCE PRODUCT SALES. 2)NEWMAN & DUNN REAL ESTATE, NOT INVESTMENT-RELATED, 2044 JOHN ROLFE PARKWAY, RICHMOND, VA 23238, REAL ESTATE SALES, REALTOR, START DATE: 2009, APPROX. NUMBER OF HOURS/MONTH: 20, THE NUMBER OF HOURS DEVOTED TO THE OUTSIDE BUSINESS ACTIVITY DURING SECURITIES TRADING HOURS:5 DUTIES: SHOW HOMES/PROPERTIES 3) AMERICAN FINANCIAL EDUCATION ALLIANCE; INVESTMENT- RELATED; 8514 MCALPINE PARK DRIVE, SUITE 280, CHARLOTTE, NC 28211; INSTRUCTOR/TEACHER; START DATE: 2021, SPENDS LESS THAN 10% OF PROFESSIONAL TIME ON ACTIVITY; TEACH AND INSTRUCT CLASS/INFORM AND EMPOWER INDIVIDUALS TO TAKE CONTROL OF THEIR FINANCES BY PROVIDING COMPRHENSIVE FINANCIAL EDUCATION IN COMMUNITIES.
CRS (Client Relationship Summary) - RIA
Click below to view John Stephens Thoma's 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®
NoneExperience
Current
August 26, 2013 - Present
ROYAL FUND MANAGEMENT, LLC
Office #1: 9701 Gayton Road Suite 9, Richmond, VA 23238RIA
CRD#: 144434
Richmond, VA
Past
January 17, 2013 - August 2, 2013
ARCHER INVESTMENT CORPORATION
RIA
CRD#: 136403
CARMEL, IN
Past
May 22, 2012 - December 31, 2012
POSITIVE ALPHA, INC.
RIA
CRD#: 139471
TROY, VA
Past
September 1, 2010 - May 11, 2012
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
RICHMOND, VA
Past
September 1, 2010 - May 11, 2012
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
RICHMOND, VA
Past
October 8, 2003 - October 1, 2010
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
RICHMOND, VA
Past
October 8, 2003 - October 1, 2010
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
RICHMOND, VA
Past
June 2, 2003 - October 9, 2003
OSAIC FA, INC.
RIA
CRD#: 3978
RICHMOND, VA
Past
May 28, 2003 - October 9, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
May 28, 2003 - October 9, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
March 18, 2002 - May 8, 2003
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
May 3, 1999 - January 7, 2002
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
November 21, 1996 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
July 5, 1989 - November 20, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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".
RF
ROYAL FUND MANAGEMENT, LLC
401(K) MANEUVER | YI WEALTH MANAGEMENT | WOERNLE WEALTH MANAGEMENT, LLC | WEALTH HARMONICS | WAYFINDER WEALTH MANAGEMENT | WAGNER INVESTMENT & RETIREMENT ADVISORS | VALLEY ASSET MANAGERS LLC | TRU FINANCIAL STRATEGIES | TRIPLETT WEALTH MANAGEMENT | TRANSPARENT FINANCIAL GROUP | THE SORENSEN ADVISORY GROUP, LLC | STRATEGIC FINANCIAL GROUP | STILL WATERS FINANCIAL GROUP LLC | STANDARD CAPITAL FINANCIAL | SPROUSE INVESTMENTS LLC | SOUTHWEST RETIREMENT & WEALTH MANAGEMENT | SOLUTIONS ADVISORY SERVICES, LLC | SOLID WEALTH ADVISORS, LLC | SIGNATURE AMERICA FINANCIAL & INSURANCE SERVICES, INC | SCHLOSSER INSURANCE SERVICES LLC | SAGE RETIREMENT SERVICES, LLC | ROYAL FUND MANAGEMENT, LLC | ROYAL FUND MANAGEMENT | RIDGEBROOKE INVESTMENT PLANNING | RETIREMENT INCOME SPECIALISTS | PRIME FINANCIAL ADVISORS | PLANNING ASSOCIATES OF THE SOUTHERN TIER | PELTZ FINANCIAL SERVICES | PATRICK LYNCH FINANCIAL | NORTHSHORE PLANNING GROUP | NORTHPOINT FINANCIAL, LLC | NORRIS FINANCIAL SOLUTIONS | NEXUS FINANCIAL GROUP | NEW LIFE FINANCIAL SOLUTIONS, LLC | NEW LIFE FINANCIAL PLANNING, LLC | MCRAE INVESTMENT ADVISORY | LONG FINANCIAL | LINK RETIREMENT & FINANCIAL SERVICES | LINK FINANCIAL LLC | LIFEPLAN PARTNERS, LLC | LIFE & LEGACY ADVISORS, LLC | LEGACY RETIREMENT SERVICES, INC. | JUDY CARLSON FINANCIAL GROUP | JO-ANN HOLST ADVISERS, INC | JO-ANN HOLST ADVISERS | JH ADVISERS | JD UNDERWOOD FINANCIAL | J.D. UNDERWOOD WEALTH MANAGEMENT, INC. | IOWA WEALTH ADVISORS | INTEGRITY WEALTH MANAGEMENT SOLUTIONS | INTEGRITY INVESTMENT AND RISK MANAGEMENT | HOWELL WEALTH CONSULTANTS LLC | HAWKS FINANCIAL, LLC | HARBOUR FINANCIAL GROUP, INC. | GOVERNMENT PERSONNEL ADVISORY GROUP, LLC | GATEKEEPER INVESTMENT ADVISERS | FREDRICK ADVISORS | FREDERICK FINANCIAL GROUP | FRACTAL PROFILE WEALTH MANAGEMENT | FINGERFINANCIAL | FINANCIAL VISION & INVESTMENT SERVICES, INC. | FINANCIAL STRATEGIES, INC. | FINANCIAL ADVISORS OF THE ROCKIES, INC. | FAMILY FINANCIAL RETIREMENT SYSTEMS LLC | EDWARDS INVESTMENTS LLC | DARLING WEATLH MANAGEMENT, LLC | CORNERSTONE FINANCIAL RESOURCES, LLC | COLORADO ELITE RETIREMENT PLANNING, LL DBA SOLID WEALTH ADVISORS, LLC | CLEARPOINT FINANCIAL GROUP | CAMINO ADVISORY | BUDNICK WEALTH MANAGEMENT | BRIZENDINE ADVISOR SERVICES, LLC | BRIDGE WEALTH STRATEGIES | BLACKSTON FINANCIAL ADVISORY GROUP | BENTLEY FINANCIAL | AR WEALTH MANAGEMENT | AMERICAN ELITE RETIREMENT LLC | AMERICA DIRECT, LLC | ALTMEYER FINANCIAL INVESTMENTS, LLC | ADVANCED FINANCIAL STRATEGIES | ADAGE FINANICAL CONSULTANTS, INC.
CRD#: 144434 / SEC#: 801-77918
RIA
Registered Investment Advisory firm - (4/10/2013 Approved)Florida
Registered Investment Advisory firm - (8/26/2013 Terminated)Kentucky
Registered Investment Advisory firm - (8/27/2013 Terminated)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
Virginia(8/26/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
RF
ROYAL FUND MANAGEMENT, LLC
401(K) MANEUVER | YI WEALTH MANAGEMENT | WOERNLE WEALTH MANAGEMENT, LLC | WEALTH HARMONICS | WAYFINDER WEALTH MANAGEMENT | WAGNER INVESTMENT & RETIREMENT ADVISORS | VALLEY ASSET MANAGERS LLC | TRU FINANCIAL STRATEGIES | TRIPLETT WEALTH MANAGEMENT | TRANSPARENT FINANCIAL GROUP | THE SORENSEN ADVISORY GROUP, LLC | STRATEGIC FINANCIAL GROUP | STILL WATERS FINANCIAL GROUP LLC | STANDARD CAPITAL FINANCIAL | SPROUSE INVESTMENTS LLC | SOUTHWEST RETIREMENT & WEALTH MANAGEMENT | SOLUTIONS ADVISORY SERVICES, LLC | SOLID WEALTH ADVISORS, LLC | SIGNATURE AMERICA FINANCIAL & INSURANCE SERVICES, INC | SCHLOSSER INSURANCE SERVICES LLC | SAGE RETIREMENT SERVICES, LLC | ROYAL FUND MANAGEMENT, LLC | ROYAL FUND MANAGEMENT | RIDGEBROOKE INVESTMENT PLANNING | RETIREMENT INCOME SPECIALISTS | PRIME FINANCIAL ADVISORS | PLANNING ASSOCIATES OF THE SOUTHERN TIER | PELTZ FINANCIAL SERVICES | PATRICK LYNCH FINANCIAL | NORTHSHORE PLANNING GROUP | NORTHPOINT FINANCIAL, LLC | NORRIS FINANCIAL SOLUTIONS | NEXUS FINANCIAL GROUP | NEW LIFE FINANCIAL SOLUTIONS, LLC | NEW LIFE FINANCIAL PLANNING, LLC | MCRAE INVESTMENT ADVISORY | LONG FINANCIAL | LINK RETIREMENT & FINANCIAL SERVICES | LINK FINANCIAL LLC | LIFEPLAN PARTNERS, LLC | LIFE & LEGACY ADVISORS, LLC | LEGACY RETIREMENT SERVICES, INC. | JUDY CARLSON FINANCIAL GROUP | JO-ANN HOLST ADVISERS, INC | JO-ANN HOLST ADVISERS | JH ADVISERS | JD UNDERWOOD FINANCIAL | J.D. UNDERWOOD WEALTH MANAGEMENT, INC. | IOWA WEALTH ADVISORS | INTEGRITY WEALTH MANAGEMENT SOLUTIONS | INTEGRITY INVESTMENT AND RISK MANAGEMENT | HOWELL WEALTH CONSULTANTS LLC | HAWKS FINANCIAL, LLC | HARBOUR FINANCIAL GROUP, INC. | GOVERNMENT PERSONNEL ADVISORY GROUP, LLC | GATEKEEPER INVESTMENT ADVISERS | FREDRICK ADVISORS | FREDERICK FINANCIAL GROUP | FRACTAL PROFILE WEALTH MANAGEMENT | FINGERFINANCIAL | FINANCIAL VISION & INVESTMENT SERVICES, INC. | FINANCIAL STRATEGIES, INC. | FINANCIAL ADVISORS OF THE ROCKIES, INC. | FAMILY FINANCIAL RETIREMENT SYSTEMS LLC | EDWARDS INVESTMENTS LLC | DARLING WEATLH MANAGEMENT, LLC | CORNERSTONE FINANCIAL RESOURCES, LLC | COLORADO ELITE RETIREMENT PLANNING, LL DBA SOLID WEALTH ADVISORS, LLC | CLEARPOINT FINANCIAL GROUP | CAMINO ADVISORY | BUDNICK WEALTH MANAGEMENT | BRIZENDINE ADVISOR SERVICES, LLC | BRIDGE WEALTH STRATEGIES | BLACKSTON FINANCIAL ADVISORY GROUP | BENTLEY FINANCIAL | AR WEALTH MANAGEMENT | AMERICAN ELITE RETIREMENT LLC | AMERICA DIRECT, LLC | ALTMEYER FINANCIAL INVESTMENTS, LLC | ADVANCED FINANCIAL STRATEGIES | ADAGE FINANICAL CONSULTANTS, INC.
CRD#: 144434 / SEC#: 801-77918
RIA
Registered Investment Advisory firm - (4/10/2013 Approved)Florida
Registered Investment Advisory firm - (8/26/2013 Terminated)Kentucky
Registered Investment Advisory firm - (8/27/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1515 Buenos Aires Blvd, Lady Lake, FL 32159
Mailing Address
Phone number
(352) 750-1637
Established
Firm type
Fiscal year end
# of Employees
93
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,143 |
| AUM (Assets Under Management) | $ 1,307,115,289 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROYAL FUND MANAGEMENT, LLC
CRD#: 144434Richmond, VA 23238TRUST BUT VERIFY
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