Thomas F. Ritchie

TRUIST ADVISORY SERVICES

LANDISVILLE, PA

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CRD#: 2887878

Professional summary

Thomas Francis Ritchie, who also goes by Thomas Francis Ritchie Jr, Tom Ritchie Jr, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Landisville, Pennsylvania and TRUIST INVESTMENT SERVICES, INC. located in Charlotte, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Francis Ritchie Jr | Tom Ritchie Jr

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Francis Ritchie'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.

RIA

CRD#: 283390

LANDISVILLE, PA

Current

February 17, 2021 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 214 N Tryon St Fl 21 32, Charlotte, NC, 28202

CRD#: 17499

CHARLOTTE, NC

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

LANCASTER, PA

Past

September 16, 2016 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

LANCASTER, PA

Past

November 19, 2015 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

LANCASTER, PA

Past

November 19, 2015 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

LANCASTER, PA

Past

January 21, 2014 - November 3, 2015

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

YORK, PA

Past

July 15, 2010 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

YORK, PA

Past

July 15, 2010 - November 3, 2015

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

YORK, PA

Past

August 11, 2008 - June 4, 2009

BAINBRIDGE SECURITIES INC.

CRD#: 36757

YARDLEY, PA

Past

July 25, 2008 - June 25, 2010

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

LANCASTER, PA

Past

July 25, 2008 - June 25, 2010

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

LANCASTER, PA

Past

June 15, 2004 - August 1, 2008

BAINBRIDGE SECURITIES INC.

CRD#: 36757

LANCASTER, PA

Past

January 5, 2004 - June 22, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

May 1, 2003 - December 9, 2003

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

July 28, 1997 - May 1, 2003

ALLFIRST BROKERAGE CORPORATION

CRD#: 17531

BALTIMORE, MD

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

Pennsylvania
(2/17/2021)

IAR

Pennsylvania
(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: 7/30/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/31/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/25/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/2001

General Securities Principal 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.

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Firm Stability Insights

Thomas F. Ritchie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Francis Ritchie'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.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

BAINBRIDGE SECURITIES INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

BAINBRIDGE SECURITIES INC.

ESSEX NATIONAL SECURITIES, LLC

M&T SECURITIES, INC.

ALLFIRST BROKERAGE CORPORATION

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/2007

Series 63

Date: 8/12/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/31/2001

Series 6

Date: 7/25/1997

Series 24

Date: 10/29/2001

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

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