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Timothy Tunney

UBS Financial Services INC.
44 Years of Experience
Irvine, CA
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Timothy Tunney is a registered investment advisor at UBS Financial Services INC., based in Irvine, CA, with 44 years of industry experience. Timothy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B

Fee Structure

Investment management only (planning not offered)
  • Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
View Full SEC Brochure

Location

200 Spectrum Center Drive Suite 1800, 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
View Full SEC ReportHow to Read Disclosures
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 11 mos
UBS Financial Services INC.Broker
November 2008 - Present · 17 yrs 11 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 Registrations23 states
AZCACOFLGAIDILINKSMAMNMOMTNCNJNYOHPRSCSDTXUTWA
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.
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