Who is Tammy Head (CRD#: 1327555)?
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.
What is a Financial Advisor?
A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan that is specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.
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. Before 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.
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
Products
Investment banking
wealth management
private banking
investment management
asset management
corporate banking
retail banking
corporate banking
private equity
finance and insurance
retail banking
mortgages
credit cards
Tammy Head Disclosures: BrokerCheck, FINRA, And SEC
The brokerCheck report of Tammy Renae includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, arbitration awards, and disclosure events.
There is a one-customer dispute against Tammy Head. You may go through it in my provided reports.
BrokerCheck
individual_1327555.pdf (finra.org)
SEC Litigations & Forms
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, Law.com, 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:
There might be more pending lawsuits against Tammy Head which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Tammy Head on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.
CourtListener
UniCourt
Law.com
Law360.com
Trellis.law
Justia
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 Tammy Head using the websites down below:
Sonn Law Group
SEC.gov
White Law Group
MDF Law
Israels & Neuman, PLC
Klayman Toskes
You can contact the law firms mentioned above if facing issues with Tammy Head or any financial advisor.
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