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Senior Vice President & Chief Compliance Officer · TOM Johnson Investment Management, LLC

Lori A. Calfy

CRD 4301772 · Named on Form ADV at one SEC-registered adviser

At a glance

TOM Johnson Investment Management, LLC, an SEC-registered wealth manager based in Oklahoma City, OK with $1.6 billion in regulatory assets, lists Lori A. Calfy on its Form ADV as Senior Vice President & Chief Compliance Officer.

Firms and roles

AtlasMembers

Lori’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Richard H. ParryMember, Sole Trustee of the Richard H. Parry Living Trust, President & CIO, TOM Johnson Investment Management, LLC

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Lori’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.