Thomas M. Sowers

TRUIST ADVISORY SERVICES

HARRISONBURG, VA 22801

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CRD#: 2468716

Professional summary

Thomas Moffett Sowers, who also goes by Tom Sowers, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Harrisonburg, Virginia and TRUIST INVESTMENT SERVICES, INC. located in Broadway, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Sowers

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

LIONS CLUB BROOM SALE CHAIRMAN POSITION: BROOM SALE CHAIRMAN NATURE: BROOM SALE CHAIRMAN. ORGANIZE ANNUAL BROOM SALE. COMMIT LESS THAN 1 HR/WK. THIS IS THE LOCAL CHAPTER OF AN INTERNATIONAL NON-PROFIT CIVIC ORGANIZATION THAT RAISES MONEY FOR THE HEARING AND SIGHT IMPAIRED INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2001 ADDRESS: 1463 Brookhaven Drive, HARRISONBURG VA 22801 DESCRIPTION: THIS IS THE LOCAL CHAPTER OF AN INTERNATIONAL NON-PROFIT CIVIC ORGANIZATION THAT RAISES MONEY FOR THE HEARING AND SIGHT IMPAIRED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Moffett Sowers's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 17, 2021 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 250 Neff Ave, Harrisonburg, VA 22801

RIA

CRD#: 283390

HARRISONBURG, VA

Current

February 17, 2021 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 153 N Main St, Broadway, VA 22815Office #2: 250 Neff Ave, Harrisonburg, VA 22801Office #3: 111 N Main St, Bridgewater, VA 22812

CRD#: 17499

BROADWAY, VA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

February 20, 2008 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

HARRISONBURG, VA

Past

February 20, 2008 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

HARRISONBURG, VA

Past

February 21, 2006 - February 21, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

HARRISONBURG, VA

Past

February 21, 2006 - February 21, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HARRISONBURG, VA

Past

March 13, 2001 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

HARRISONBURG, VA

Past

September 22, 2000 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

May 5, 1999 - September 26, 2000

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

May 20, 1994 - May 5, 1999

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

RICHMOND, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(2/17/2021)

Delaware
(6/13/2023)

District of Columbia
(2/17/2021)

Florida
(2/17/2021)

Iowa
(6/10/2024)

Kansas
(8/25/2022)

Maryland
(12/4/2024)

Minnesota
(8/6/2021)

New York
(2/17/2021)

North Carolina
(2/17/2021)

Ohio
(2/17/2021)

Pennsylvania
(2/17/2021)

South Carolina
(2/17/2021)

Tennessee
(1/2/2023)

Texas
(11/21/2022)

Virginia
(2/17/2021)

IAR

Virginia
(2/17/2021)

West Virginia
(2/17/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/15/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/19/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/12/2000

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

303 Peachtree Street 2nd Floor, Atlanta, GA 30303

Mailing Address

Po Box 4418 Mc 107, Atlanta, GA 30302

Phone number

(800) 874-4770

Established

Firm type

Fiscal year end

# of Employees

2,469

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	124,363
AUM (Assets Under Management)	$ 67,736,740,585

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/24/2025	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas M. Sowers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Moffett Sowers's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/1994

Series 63

Date: 5/27/1994

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1994

Series 10

Date: 7/19/2000

Series 9

Date: 7/12/2000

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Contact information

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