JL
JL
John Lipari
44 Years of Experience
Sherman Oaks, CA
1 DisclosureBroker
John Lipari is a registered investment advisor at UBS Financial Services INC., based in Sherman Oaks, CA, with 44 years of industry experience. John 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
15260 Ventura Boulevard, Suite 1800, Sherman Oaks, CA, 91403
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
January 1999Closed-No Action
Employment History
Current Registrations
UBS Financial Services INC.
December 2014 - Present · 11 yrs 10 mos
UBS Financial Services INC.
December 2014 - Present · 11 yrs 10 mos
UBS Financial Services INC.Broker
December 2014 - Present · 11 yrs 10 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - December 2014 · 5 yrs 6 mos
Morgan Stanley
June 2009 - December 2014 · 5 yrs 6 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
September 1997 - April 2007 · 9 yrs 7 mos
Morgan Stanley
July 1997 - April 2007 · 9 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1990 - September 1997 · 7 yrs 8 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
December 1988 - January 1990 · 1 yr 1 mo
Shearson Lehman Hutton INC.Broker
November 1983 - January 1989 · 5 yrs 2 mos
Drexel Burnham Lambert IncorporatedBroker
September 1982 - November 1983 · 1 yr 2 mos
State Registrations35 states
AZCACODCDEFLGAHIIDILINKYMAMDMEMIMNMTNCNHNJNMNVNYOHOKORPASCTNTXUTVAWAWY
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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