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TIMOTHY WILLIAM TUNNEY JR
TIMOTHY WILLIAM (JR) TUNNEY, TIMOTHY WILLIAM TUNNEY JR JR, TIMOTHY WILLIAM TUNNEY JR. JR
CRD#: 1032749
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 20 PACIFICA
IRVINE, CA 92618
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)1998 - 2007 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 1998 (4 years)BSMITH BARNEY SHEARSON INC. (CRD# 7059)1993 - 1994 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1990 - 1993 (2 years)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1987 - 1990 (3 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1985 - 1987 (2 years)BBATEMAN EICHLER, HILL RICHARDS... (CRD# 76)1982 - 1985 (3 years)IAMORGAN STANLEY (CRD# 7556)2000 - 2007 (6 years)
Disclosure(s)
View By:
6/6/1989
Customer Dispute
Award / Judgment
11/17/1987
Customer Dispute
Award / Judgment
6/26/1987
Customer Dispute
Settled
3/26/1987
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 3/23/2017

B
New Jersey 5/5/2021

B
California 11/14/2008

B
New York 11/14/2008

IA
California 11/17/2008

B
North Carolina 12/5/2024

B
Colorado 1/9/2020

B
Ohio 1/31/2025

B
Connecticut 10/9/2024

B
Puerto Rico 6/7/2024

B
Florida 12/23/2008

B
South Carolina 9/25/2014

B
Georgia 5/10/2021

B
South Dakota 2/22/2011

B
Idaho 5/3/2019

IA
Texas 2/21/2018

B
Illinois 11/14/2008

B
Texas 1/10/2025

B
Indiana 11/14/2008

B
Utah 8/15/2017

B
Massachusetts 9/9/2010

B
Washington 3/31/2009

B
Minnesota 11/14/2008

B
West Virginia 12/8/2010

B
Missouri 11/14/2008

B
Wyoming 11/14/2008

B
Montana 5/16/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
20 PACIFICA, IRVINE, CA 92618
Registered with this firm since 11/17/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
20 PACIFICA, IRVINE, CA 92618
Registered with this firm since 11/14/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/02/2007 - 11/17/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) IRVINE, CA
B
04/02/2007 - 11/17/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) IRVINE, CA
IA
10/24/2000 - 04/02/2007 MORGAN STANLEY (CRD#:7556) IRVINE, CA
B
07/14/1998 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) IRVINE, CA
B
01/22/1994 - 07/10/1998 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
07/31/1993 - 01/14/1994 SMITH BARNEY SHEARSON INC. (CRD#:7059) NEW YORK, NY
B
12/11/1990 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
09/10/1987 - 12/04/1990 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471) NEW YORK, NY
B
08/12/1985 - 09/14/1987 PAINEWEBBER INCORPORATED (CRD#:8174)
B
03/02/1982 - 08/19/1985 BATEMAN EICHLER, HILL RICHARDS, INCORPORATED (CRD#:76)
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.