Thomas M. Johnson
ADVOCACY WEALTH MANAGEMENT
ATLANTA, GA 30339
Some features on this profile are disabled
CRD#: 811554
Professional summary
Thomas Marion Johnson III, CFP®, who also goes by Thomas Marion Johnson, is a registered financial advisor currently at ADVOCACY WEALTH MANAGEMENT, LLC located in Atlanta, Georgia.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 5, PC, Series 7, Series 53 and Series 24 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Tax Planning
Retirement Planning
Insurance Planning
Estate Planning
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
Thomas Marion Johnson
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. Advocacy Wealth Management, LLC, Registered Investment Advisor, as indicated by title, 50 hours/week, Compensated CEO.
2. Advocacy Inc., Trust Company, Trust administration, Director and member of the Trust and Trust Investment Committees, Atlanta GA, Investment related, started 10/1/2014, devote about 10hours/month, Advise and consent.
3. Sensor Tech, Inc., 31 Island Drive, Savannah, GA, Non-investment related, no compensation, Developmental stage company with patented sensor technology, Director started 2001, 0.5hrs/month, 0hrs during securities trading hours, Duties: Advise and consent.
4. The Elaine Clark Center, Inc., 5130 Peachtree Blvd. Chamblee, GA 30341, Non-investment related, no compensation, 501c3 Educational Center serving 6 weeks to 22 years of all abilities, especially special needs, Vice chairman, Chair of Finance Committee, started 1994, devote 5hrs/month, duties: advise and consent, but also manage the institution's endowment.
5. Forge Consulting LLC, 11 Depot Street, Hartwell GA 30643, Non-investment related, Insurance agency, Parent company of Advocacy Wealth Management, no direct compensation, General insurance Agency, Title: Agent, started 2/2014, devote 5hrs/month during securities trading hours, Duties: Placement of annuity and life products as part of an integrated plan for Advocacy Wealth Clients. Member of the Board of Members, 2016.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Marion Johnson III'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®
CFP®
Start date: 2009
Experience
Current
March 12, 2012 - Present
ADVOCACY WEALTH MANAGEMENT, LLC
Office #1: 3350 Riverwood Parkway Suite 1900-pmb1941, Atlanta, GA 30339RIA
CRD#: 141943
ATLANTA, GA
Past
October 25, 2011 - September 24, 2014
CERTUS INVESTMENT ADVISORS, LLC
RIA
CRD#: 159221
ATLANTA, GA
Past
March 24, 2011 - November 13, 2013
SAGE CAPITAL HOLDINGS, LLC
RIA
CRD#: 154306
ATLANTA, GA
Past
March 31, 2010 - November 30, 2015
CERTUSSECURITIES, INC.
BD
CRD#: 144051
ATLANTA, GA
Past
January 20, 2010 - July 31, 2012
CURTISWOOD CAPITAL, LLC
BD
CRD#: 120767
NASHVILLE, TN
Past
June 1, 2009 - April 15, 2010
FIRST LEGACY SECURITIES, LLC
RIA
CRD#: 47079
HELENA, AL
Past
June 1, 2009 - April 15, 2010
FIRST LEGACY SECURITIES, LLC
BD
CRD#: 47079
HELENA, AL
Past
April 30, 1999 - June 1, 2009
ACCESS SECURITIES, LLC
BD
CRD#: 22455
ATLANTA, GA
Past
October 14, 1988 - May 12, 1999
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
August 21, 1975 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
BD
CRD#: 472
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".
AW
ADVOCACY WEALTH MANAGEMENT, LLC
ADVOCACY WEALTH MANAGEMENT SERVICES, LLC | MONTAG & CALDWELL, AN ADVOCACY WEALTH COMPANY | GREY INVESTMENT ADVISORS | ADVOCACY WEALTH MANAGEMENT, LLC
CRD#: 141943 / SEC#: 801-77677
RIA
Registered Investment Advisory firm - (3/1/2013 Approved)Alabama
Registered Investment Advisory firm - (3/4/2013 Terminated)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (3/4/2013 Terminated)Louisiana
Registered Investment Advisory firm - (3/11/2013 Terminated)Mississippi
Registered Investment Advisory firm - (4/23/2013 Terminated)New York
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/6/2013 Terminated)South Carolina
Registered Investment Advisory firm - (3/4/2013 Terminated)South Dakota
Registered Investment Advisory firm - (3/4/2013 Terminated)Tennessee
Registered Investment Advisory firm - (4/3/2013 Terminated)Texas
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (3/12/2013 Terminated)Wisconsin
Registered Investment Advisory firm - (3/1/2013 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
Georgia(3/12/2012)
IAR
Texas(1/2/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/11/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 10/17/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AW
ADVOCACY WEALTH MANAGEMENT, LLC
ADVOCACY WEALTH MANAGEMENT SERVICES, LLC | MONTAG & CALDWELL, AN ADVOCACY WEALTH COMPANY | GREY INVESTMENT ADVISORS | ADVOCACY WEALTH MANAGEMENT, LLC
CRD#: 141943 / SEC#: 801-77677
RIA
Registered Investment Advisory firm - (3/1/2013 Approved)Alabama
Registered Investment Advisory firm - (3/4/2013 Terminated)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (3/4/2013 Terminated)Louisiana
Registered Investment Advisory firm - (3/11/2013 Terminated)Mississippi
Registered Investment Advisory firm - (4/23/2013 Terminated)New York
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/6/2013 Terminated)South Carolina
Registered Investment Advisory firm - (3/4/2013 Terminated)South Dakota
Registered Investment Advisory firm - (3/4/2013 Terminated)Tennessee
Registered Investment Advisory firm - (4/3/2013 Terminated)Texas
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (3/12/2013 Terminated)Wisconsin
Registered Investment Advisory firm - (3/1/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3455 Peachtree Road Ne Suite 1500, Atlanta, GA 30326-3280
Mailing Address
Phone number
(404) 836-7141
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,917 |
| AUM (Assets Under Management) | $ 2,084,296,352 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2025 | ||
| 07/26/2024 | ||
| 10/27/2023 | ||
| 01/30/2023 |
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.
