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Thomas William Harris

Wells Fargo Clearing Services, LLC

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About Thomas William Harris

Thomas Harris is a financial professional with over 30 years of experience in the industry. Thomas is currently a registered representative with Wells Fargo Clearing Services, LLC. Thomas provides financial advice and services to individuals, corporations, and institutions. Thomas has a broad range of experience in the financial services industry, including investment management, financial planning, and retirement planning. Thomas has worked for a number of well-known financial institutions including UBS Financial Services Inc., Citigroup Global Markets Inc., Lehman Brothers Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Thomas is a Series 3, 5, 7, 31, and 65 licensed professional. Thomas is also registered with the following states: California, Connecticut, Florida, Georgia, Maryland, Massachusetts, New Hampshire, New York, Rhode Island, Vermont, and Virginia.

Firm Information

Thomas Harris is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Harris’s Registration & Firm History

VT

11/29/2018 - Present

Wells Fargo Clearing Services, LLC (RUTLAND VT)

VT

03/19/2009 - 11/29/2018

UBS FINANCIAL SERVICES INC. (RUTLAND VT)

VT

07/31/1993 - 04/13/2009

CITIGROUP GLOBAL MARKETS INC. (MANCHESTER VT)

NY

05/15/1992 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

01/26/1989 - 09/07/1990

FIRST ALBANY CORPORATION (NEW YORK NY)

NA

07/01/1987 - 01/10/1989

OPPENHEIMER & CO., INC.

NA

01/08/1981 - 06/17/1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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Licenses & Designations

IA

Issued 07/14/1993

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/31/1981

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/24/2003

Series 31 - Futures Managed Funds Examination

BC

Issued 04/26/1988

Series 3 - National Commodity Futures Examination

BC

Issued 12/12/1981

Series 5 - Interest Rate Options Examination

BC

Issued 11/21/1981

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 2 public disclosures for Thomas William Harris. Review regulatory record here.
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