THOMAS WILLIAM HARRIS is currently employed as a Broker and/or Investment Adviser at UBS FINANCIAL SERVICES INC. located at 67 MERCHANTS ROW, SUITE 102, RUTLAND, VT, 05701.
THOMAS WILLIAM HARRIS has worked at UBS FINANCIAL SERVICES INC. since March 19, 2009
Disclosure History
THOMAS WILLIAM HARRIS has 2 Disclosure Event(s).
Date: March 02, 2006 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE PURCHASE OF A VARIABLE ANNUITY WAS UNSUITABLE - 2000. DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
Date: October 02, 1972 Category: Criminal Charges: DEFRAUDING AN INKEEPER $9.50 (NINE DOLLARSAND FIFTY CENTS) Disposition: MISDEMEANOR CONVICTION-TIME SERVED-PLEADEDGUILTY, SPENT THE WEEKEND IN JAIL. Broker Comment: Not Provided
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