Expert Review

Tammy Head: Hidden Disclosures & Lawsuits (2023)

Who is Tammy Head (CRD#: 1327555)?

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Tammy Head, Senior Portfolio Manager, has been in the profession for over 33 years, specializing with Alaskan Native Corporations, Hospitals, and a wide range of high net-worth individuals. She holds the Wharton School’s Certified Investment Management Analyst, Charter Financial Consultant, Chartered Life Underwriter, and Chartered Retirement Planning Specialist credentials. Tammy is a Civil Air Patrol 2nd Lieutenant, a Mission Scanner, and a private pilot. She is interested in skiing, flying, quilting, and spending time outside with her husband and two sons.

About UBS Financial Services Inc.

UBS is a leading and genuinely global wealth manager with focused asset management and investment banking capabilities, as well as Switzerland’s leading universal bank. We help individuals, institutions, and corporations achieve their objectives by offering financial advice and solutions.

We have a capital-light, cash-generative, and diverse business strategy, a strong culture, a balanced sheet for all seasons, and a respected brand with over 160 years of history.
UBS Financial Services Inc. is a brokerage firm as well as an investment advisor. The Company specializes in the purchase and sale of assets such as stocks, bonds, mutual funds, and other investment products, as well as the management of investment portfolios and the provision of financial planning services. UBS Financial Services operates on a global scale.

UBS Investment Bank offers securities and other financial instruments, as well as research in equities, rates, credit, foreign currency, precious metals, and derivatives. UBS Investment Bank employed 5,205 people as of the end of December 2018, with offices in 33 countries.

This business segment also advises and connects corporate and institutional clients, governments, financial intermediaries, alternative asset managers, and private investors to capital markets. Prior to the merger of the Union Bank of Switzerland and the Swiss Bank Corporation (SBC), UBS Investment Bank was known as UBS Warburg and Warburg Dillon Read.

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UBS Asset Management has investment capabilities in equity, fixed income, currency, hedge funds, global real estate, infrastructure, and private equity, which can be combined in multi-asset strategies. Following the 1998 UBS-SBC merger and subsequent restructuring, three significant asset management companies were combined: UBS Asset Management, Phillips & Drew, and Brinson Partners (owned by SBC). In 2000, the investment teams combined, and in 2002, the brands were merged to form UBS Global Asset Management.

UBS’s corporate structure includes four divisions in total as of June 2018 :

Global Wealth Management
Personal & Corporate Bank
Asset Management
Investment Bank


Investment banking
wealth management
private banking
investment management
asset management
corporate banking
retail banking
corporate banking
private equity
finance and insurance
retail banking
credit cards

Tammy Head Disclosures: BrokerCheck, FINRA, And SEC

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.


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SEC Litigations & Forms

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Source: Tammy Renae Head – SEC Site Search Search Results

Tammy Head Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt,, Justia, and Trellis. law, and Law360. If Tammy Renae Head has been involved in any such lawsuits, then you can find the documents using the links down below:

Tammy Head Complaints & Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Michael Warr using the websites down below:

Better Alternatives To Tammy Renae Head:

These recommendations are based on the ratings of, the biggest financial advisor review platform on the internet.
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Manages Assets Worth

  • $6,427,792,177


  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
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Manages Assets Worth

  • $4,465,757,285


  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
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Manages Assets Worth

  • $302,000,000


  • Financial planning
  • Portfolio management

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