JT
JT
James Tuminello
28 Years of Experience
Seattle, WA
1 DisclosureBroker
James Tuminello is a registered investment advisor at UBS Financial Services INC., based in Seattle, WA, with 28 years of industry experience. James 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
925 Fourth Avenue, 31st & 32nd Floor, Seattle, WA, 98104
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
April 2011Settled
Employment History
Current Registrations
UBS Financial Services INC.
July 2023 - Present · 3 yrs 3 mos
UBS Financial Services INC.
July 2023 - Present · 3 yrs 3 mos
UBS Financial Services INC.Broker
July 2023 - Present · 3 yrs 3 mos
Previous Registrations
Morgan Stanley
June 2014 - August 2023 · 9 yrs 2 mos
Morgan StanleyBroker
May 2014 - August 2023 · 9 yrs 3 mos
Wells Fargo Advisors, LLC
November 2008 - May 2014 · 5 yrs 6 mos
Wells Fargo Advisors, LLCBroker
November 2008 - May 2014 · 5 yrs 6 mos
UBS Financial Services INC.
April 2001 - December 2008 · 7 yrs 8 mos
UBS Financial Services INC.Broker
March 2001 - December 2008 · 7 yrs 9 mos
Prudential Securities IncorporatedBroker
March 1998 - March 2001 · 3 yrs
State Registrations30 states
AKAZCACODCFLHIIDILINKSKYMEMNMTNCNHNJNMNVNYOHORPARISDTXUTVAWA
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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