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Eric Garcia-Tunon

UBS Financial Services INC.
29 Years of Experience
Miami, FL
1 DisclosureBroker
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Eric Garcia-Tunon is a registered investment advisor at UBS Financial Services INC., based in Miami, FL, with 29 years of industry experience. Eric 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

100 SE 2nd Street, 27th Floor, Miami, FL, 33131

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History

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
November 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Eric is a Broker Dealer Committee Member for FIBA, a banking and financial services association, since 2010. He is a member of a committee representing the interests of third parties but does not have authority to make investment decisions on behalf of the company.

Employment History
Current Registrations
UBS Financial Services INC.
January 2010 - Present · 16 yrs 9 mos
UBS Financial Services INC.
January 2010 - Present · 16 yrs 9 mos
UBS Financial Services INC.Broker
January 2010 - Present · 16 yrs 9 mos
Previous Registrations
UBS International INC.
September 2006 - January 2010 · 3 yrs 4 mos
UBS International INC.Broker
September 2006 - January 2010 · 3 yrs 4 mos
Banc of America Investment Services, INC.
October 2005 - September 2006 · 11 mos
Banc of America Investment Services, INC.Broker
June 2002 - September 2006 · 4 yrs 3 mos
First Union Securities, INC.Broker
August 2001 - April 2002 · 8 mos
First Union Securities, INC.Broker
November 2000 - March 2001 · 4 mos
A. G. Edwards & Sons, INC.Broker
February 2000 - September 2000 · 7 mos
Pruco Securities CorporationBroker
July 1996 - December 1999 · 3 yrs 5 mos
State Registrations23 states
CACOCTDCDEFLGAINKYMAMDNCNJNYOHPAPRSCSDTNTXWAWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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