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Gripeo > Blog > Consumer News > Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits
Consumer News

Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits

Last updated: December 12, 2023 7:49 am
GripeO - Web Desk
Published: December 12, 2023
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1Who is Tammy Head (CRD#: 1327555)?
2About UBS Financial Services Inc.
3Tammy Head Disclosures: BrokerCheck, FINRA, And SEC
4SEC Litigations & Forms
5Tammy Head Lawsuits
6Tammy Head Complaints & Legal Battles
7Better Alternatives To Tammy Head:

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

12/12/2023 Update
As of now, Tammy Head has not responded, nor has she apologized for her misdeeds. She has ignored our efforts to highlight the problems faced by her victims. Furthermore, she has only focused on propagating her fake PR.

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.

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.

BrokerCheck

individual_1327555.pdf (finra.org)

Tammy Renae Head fin3Download

SEC Litigations & Forms

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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 18

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.

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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 19

CourtListener

Lawsuits On CourtListner.com
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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 20

UniCourt

Lawsuits On UniCourt.com
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Law.com

Lawsuits On Law.com
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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 22

Law360.com

Lawsuits On Law360.com
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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 23

Trellis.law

Lawsuits On Trellis.law
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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 24

Justia

Lawsuits On Justia.com

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:

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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 25

Sonn Law Group

Complaints On SonnLaw.com
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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 26

SEC.gov

Complaints On SEC.gov
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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 27

White Law Group

Complaints On WhiteSecuritiesLaw
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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 28

MDF Law

Complaints On MDF-Law.com
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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 29

Israels & Neuman, PLC

Complaints On IsraelsNeuman.com
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Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 30

Klayman Toskes

Complaints On KlaymanToskes.com

You can contact the law firms mentioned above if facing issues with Tammy Head or any financial advisor.

Better Alternatives To Tammy Head:

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
Screenshot 7
Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 31

Manages Assets Worth

  • $6,427,792,177

Services

  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Visit Arlington Partners LLC
Screenshot 8
Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 32

Manages Assets Worth

  • $4,465,757,285

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Visit Waverly Advisors
Screenshot 9
Tammy Head: Exposed with the Hidden Fees, Disclosures & Lawsuits 33

Manages Assets Worth

  • $302,000,000

Services

  • Financial planning
  • Portfolio management
Visit Stonegate Capital Advisors
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