Thomas Johnson III, CFP®

President, Chief Compliance Officer

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Tom Johnson brings a wealth of experience to the Advocacy team. His career spans more than 40 years and he has served in a variety of positions, ranging from the mailroom runner of his family’s brokerage firm in his teenage years to CEO of his own firm. Tom joined Advocacy in early 2014 to partner with both AWM and Forge in the design of services for plaintiffs and those who wish to speak to predictability in the today’s low rate and volatile market. He is an Registered Investment Advisor Associate who holds a Series 65 as well as a Georgia Resident Life & Health Insurance and Long Term Care Agent license. Tom lives in Atlanta with his wife, the former Wayne Dobbs Bussey, with whom he has two children, Thomas Johnson IV and Louise.


Career Highlights:

  • Former Director of Johnson, Lane, Space, Smith & Co., Inc., 1984-89
  • Managed Institutional Equity Trading for Johnson, Lane™ as well as Corporate Fixed Income and Convertible Sales
  • Proprietary Trading and Arbitrage for successor firms Interstate/Johnson Lane Corp. and Wachovia Securities LLC
  • Formed Southern Trading Partners & Consultants in 1999 to serve institutional clients in convertible arbitrage strategies, as it continues to do this day
  • Formed Johnson Lane™ Advisors, LLC in 2008 to provide financial planning services to individuals and endowments
  • Formed Sage Capital Holdings, LLC in 2010 to acquire Sage Southeastern Securities, Inc.
  • Sold Sage Southeastern to CertusHoldings, Inc. in 2011 and became CEO, CCO of the renamed CertusSecurites, Inc., Member FINRA and SIPC
  • President of the Georgia Securities Association, 1986-87
  • Chairman of the Board, The Elaine Clark Center 1996-99, and 2007-2009, Vice-Chairman 2009-present
  • Dartmouth Club of Georgia, President 1985-86, Treasurer 2002-2010
  • Trustee of the Galloway School 1987-93
  • Director, Sensor Tech, Inc., a private Georgia technology company
  • Fiduciary Agent for Senior Note Holders, Lucky Litter, LLC, a pet supply company
  • Director, Fifth Market, Inc., a financial services technology company
  • BA, Dartmouth College, 1975 with Distinction in Literature and Creative Writing
  • Executive Program for Financial Planning, Terry School of Business, University of Georgia, 2008 with Distinction. Received designation as CERTIFIED FINANCIAL PLANNER™ in that same year.
  • Former licenses held: Registered Principal (Series 24), General Securities Registered Representative (Series 7), Equity Trader (Series 55), Investment Banking (Series 79), Municipal Principal (Series 53), Interest Rate Options (Series 5), Georgia Insurance, Variable Products

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