linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Thomas John Tarka

RBC Capital Markets, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Thomas? Claim Your Profile

About Thomas John Tarka

Thomas John Tarka has over 40 years of experience in the financial services industry. Thomas has worked with RBC Capital Markets, LLC since 2017 and before that, he worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Thomas is registered to provide investment advice in 14 states and is also registered to provide investment advice in Pennsylvania. He has a Series 7, Series 9, Series 10 and Series 63 licenses, and he is also qualified to provide Investment Advisor services under Series 65.

Firm Information

Thomas Tarka is currently registered with RBC Capital Markets, LLC. RBC Capital Markets, LLC is a Limited Liability Company formed in 2010 and headquartered in New York, NY. The firm is a Registered Investment Advisor with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. RBC Capital Markets, LLC offers a wide range of advisory services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. The firm serves a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and pooled investment vehicles. RBC Capital Markets, LLC manages more than $50 billion in assets.
RBC Capital Markets, LLC

200 VESEY ST.

NEW YORK, NY 10281

$259.96B

Assets Under Management

1,784

Total Clients

4,423

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Thomas Tarka’s Registration & Firm History

PA

04/18/2017 - Present

RBC Capital Markets, LLC (CONSHOHOCKEN PA)

PA

03/08/2006 - 04/20/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PHILADELPHIA PA)

PA

07/08/1985 - 03/08/2006

ADVEST, INC. (PHILADELPHIA PA)

NA

04/22/1982 - 06/24/1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NA

06/01/1979 - 04/29/1982

BUTCHER & SINGER INC.

NA

06/01/1978 - 06/17/1979

FIRST JERSEY SECURITIES, INC.

Not sure if Thomas John Tarka is right for you?

Licenses & Designations

IA

Issued 06/15/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/26/1979

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/26/2004

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/22/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/1978

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 3 public disclosures for Thomas John Tarka. Review regulatory record here.
Not sure if Thomas John Tarka is right for you?