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Detailed Report
THOMAS FRANCIS RITCHIE
THOMAS FRANCIS RITCHIE JR, TOM RITCHIE JR
CRD#: 2887878
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 1110 CORPORATE BLVD
FL 1
LANCASTER, PA 17601
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 1110 CORPORATE BLVD
FL 1
LANCASTER, PA 17601
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2010 (1 year)2 FIRMS2015 - 2018 (2 years)2 FIRMS2021 - Present (4 years)BBB&T SECURITIES, LLC (CRD# 142785)2016 - 2021 (4 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2010 - 2015 (5 years)BBAINBRIDGE SECURITIES INC. (CRD# 36757)2008 - 2009 (<1 year)BBAINBRIDGE SECURITIES INC. (CRD# 36757)2004 - 2008 (4 years)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)2004 - 2004 (<1 year)BM&T SECURITIES, INC. (CRD# 17358)2003 - 2003 (<1 year)BALLFIRST BROKERAGE CORPORATION (CRD# 17531)1997 - 2003 (5 years)IABB&T SECURITIES, LLC (CRD# 142785)2018 - 2021 (3 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - 2015 (1 year)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2010 - 2014 (3 years)
License(s)

State Registrations

B
Pennsylvania 2/17/2021
IA
Pennsylvania 2/17/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
1110 CORPORATE BLVD FL 1, LANCASTER, PA 17601
LANDISVILLE, PA
Registered with this firm since 2/17/2021
IA
TRUIST ADVISORY SERVICES, INC. (CRD#:283390)
1110 CORPORATE BLVD FL 1, LANCASTER, PA 17601
Registered with this firm since 2/17/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/02/2018 - 02/17/2021 BB&T SECURITIES, LLC (CRD#:142785) LANCASTER, PA
B
 09/16/2016 - 02/17/2021 BB&T SECURITIES, LLC (CRD#:142785) LANCASTER, PA
IA
 11/19/2015 - 01/02/2018 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) LANCASTER, PA
B
 11/19/2015 - 01/02/2018 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) LANCASTER, PA
IA
 01/21/2014 - 11/03/2015 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) YORK, PA
B
 07/15/2010 - 11/03/2015 CETERA INVESTMENT SERVICES LLC (CRD#:15340) YORK, PA
IA
 07/15/2010 - 01/21/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) YORK, PA
IA
 07/25/2008 - 06/25/2010 PNC INVESTMENTS (CRD#:129052) LANCASTER, PA
B
 07/25/2008 - 06/25/2010 PNC INVESTMENTS (CRD#:129052) LANCASTER, PA
B
 08/11/2008 - 06/04/2009 BAINBRIDGE SECURITIES INC. (CRD#:36757) YARDLEY, PA
B
 06/15/2004 - 08/01/2008 BAINBRIDGE SECURITIES INC. (CRD#:36757) LANCASTER, PA
B
 01/05/2004 - 06/22/2004 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
 05/01/2003 - 12/09/2003 M&T SECURITIES, INC. (CRD#:17358) BALTIMORE, MD
B
 07/28/1997 - 05/01/2003 ALLFIRST BROKERAGE CORPORATION (CRD#:17531) BALTIMORE, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.