Thomas A. Buchanan
Professional summary
Thomas Andrew Buchanan, who also goes by Thomas Andrew Buchanan, Thomas Buchanan, is a registered financial professional currently at HARRIS WILLIAMS located in Richmond, Virginia.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2022. Thomas has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Andrew Buchanan's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 28, 2025 - Present
HARRIS WILLIAMS
Office #1: 1001 Haxall Point 9th Floor, Richmond, VA 23219February 12, 2022 - October 9, 2025
FRONTIER SOLUTIONS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/28/2025)
Exams
Series 79TO
Date: 2/12/2022
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HARRIS WILLIAMS
CRD#: 113930 / SEC#: , 8-53380
Contact information
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
HARRIS WILLIAMS
CRD#: 113930Richmond, VA 23219TRUST BUT VERIFY
Monitor Thomas Buchanan
Get automatic monthly alerts on:
