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Timothy Tunney

44 Years of Experience
Irvine, CA
4 DisclosuresBroker

Timothy Tunney is a registered investment advisor at UBS Financial Services INC., based in Irvine, CA, with 44 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

20 Pacifica, Irvine, CA, 92618

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 1989
Award / Judgment
Customer Dispute
November 1987
Award / Judgment
Customer Dispute
June 1987
Settled
Customer Dispute
March 1987
Settled
Other Business Activities

Timothy serves on the Orange County, California Treasurer's Advisory Committee and is a board member and treasurer (largely symbolic role) for the Lincoln Club of Orange County. These activities are not investment-related and do not involve insurance sales.

Employment History
Current Registrations
UBS Financial Services INC.
November 2008 - Present · 17 yrs 10 mos
UBS Financial Services INC.Broker
November 2008 - Present · 17 yrs 10 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - November 2008 · 1 yr 7 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - November 2008 · 1 yr 7 mos
Morgan Stanley
October 2000 - April 2007 · 6 yrs 6 mos
Morgan Stanley Dw INC.Broker
July 1998 - April 2007 · 8 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1994 - July 1998 · 4 yrs 6 mos
Smith Barney Shearson INC.Broker
July 1993 - January 1994 · 6 mos
Lehman Brothers INC.Broker
December 1990 - July 1993 · 2 yrs 7 mos
Prudential-Bache Securities INC.Broker
September 1987 - December 1990 · 3 yrs 3 mos
Painewebber IncorporatedBroker
August 1985 - September 1987 · 2 yrs 1 mo
Bateman Eichler, Hill Richards, IncorporatedBroker
March 1982 - August 1985 · 3 yrs 5 mos
State Registrations22 states
AZCACOFLGAIDILINMAMNMOMTNCNJNYOHPRSCSDTXUTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.