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Thomas Lee Johnson

Royal Capital Wealth Management LLC

Carmel, IN

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Current Employers
Royal Capital Wealth Management Llc

Carmel, IN • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2018-01-22
  • IN RA
    APPROVED
    Since 2018-01-22

Branch Locations

Carmel, IN • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets Indianapolis IN 03/2009 12/2017
Royal Capital Wealth Management Llc Carmel IN 01/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-02-24
S63 Uniform Securities Agent State Law Examination 1983-11-30
  • S65 Uniform Investment Adviser Law Examination
    2012-02-24
  • S63 Uniform Securities Agent State Law Examination
    1983-11-30

View on SEC IAPD

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