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Tonia Dillon
39 Years of Experience
Jericho, NY
1 DisclosureBroker
Tonia Dillon is a registered investment advisor at UBS Financial Services INC., based in Jericho, NY, with 39 years of industry experience. Tonia 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.
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
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Location
One Jericho Plaza, Suit 205, Jericho, NY, 11753
Get directionsHistory
Regulatory History (1)
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
July 2010Settled
Employment History
Current Registrations
UBS Financial Services INC.
September 2022 - Present · 4 yrs 1 mo
UBS Financial Services INC.Broker
September 2022 - Present · 4 yrs 1 mo
UBS Financial Services INC.
September 2022 - Present · 4 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLC
December 2011 - September 2022 · 10 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
December 2011 - September 2022 · 10 yrs 9 mos
Morgan Stanley Smith BarneyBroker
June 2009 - December 2011 · 2 yrs 6 mos
Morgan Stanley Smith Barney LLC
June 2009 - December 2011 · 2 yrs 6 mos
Morgan Stanley & CO. Incorporated
August 2007 - June 2009 · 1 yr 10 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
October 2005 - April 2007 · 1 yr 6 mos
UBS Financial Services INC.Broker
August 1998 - November 2005 · 7 yrs 3 mos
Smith Barney INC.Broker
July 1993 - August 1998 · 5 yrs 1 mo
Lehman Brothers INC.Broker
May 1992 - July 1993 · 1 yr 2 mos
Prudential Securities IncorporatedBroker
October 1987 - June 1992 · 4 yrs 8 mos
Bevill, Bresler & Schulman IncorporatedBroker
April 1984 - April 1985 · 1 yr
State Registrations30 states
ALAZCACOCTDEFLGAMAMDMEMINCNHNJNMNVNYOHOKPARISCTNTXUTVAVTWAWY
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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