Thomas Brockley
Thomas Brockley is a registered investment advisor at RBC Capital Markets, LLC, based in Albany, NY, with 40 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
455 Patroon Creek Blvd., Suite 200, Albany, NY, 12206-5011
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2003Other Business Activities
Thomas is a passive owner of a sports memorabilia company, an active owner in horse racing and breeding, a board member for a juvenile crime prevention program and a transportation company, and a sole proprietor of a real estate holding company. These activities require minimal time and are not investment related.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Prudential Securities IncorporatedBroker
First Investors CorporationBroker
State Registrations45 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.