AS
AS

Alan Shanken

41 Years of Experience
San Francisco, CA
1 DisclosureBroker

Alan Shanken is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 41 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
Loading...

Location

555 California Street, 32nd Floor/ Suite 3200, San Francisco, CA, 94104

Get directions

History

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
April 2018
Withdrawn
Other Business Activities

Alan is involved in various real estate investments and partnerships, including 3489 Sacramento LLC, Otay Canyon Ranch, Baker Mountain Green, Equilibrium Fund Manager LLC, and EA Bros. He also serves on the Investment Committee of the University of Arizona Foundation and is a partner in an almond farming business and a food and beverage incubation and investment firm.

Employment History
Current Registrations
UBS Financial Services INC.
December 2015 - Present · 10 yrs 5 mos
UBS Financial Services INC.Broker
December 2015 - Present · 10 yrs 5 mos
Previous Registrations
Credit Suisse Securities (USA) LLC
January 2003 - December 2015 · 12 yrs 11 mos
Credit Suisse Securities (USA) LLCBroker
November 2000 - December 2015 · 15 yrs 1 mo
Donaldson Lufkin & Jenrette Securities Corporation
July 1997 - January 2003 · 5 yrs 6 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
May 1995 - January 2003 · 7 yrs 8 mos
Lehman Brothers INC.Broker
February 1990 - April 1997 · 7 yrs 2 mos
Sutro & CO. IncorporatedBroker
August 1988 - February 1990 · 1 yr 6 mos
Lehman Brothers INC.Broker
April 1988 - April 1997 · 9 yrs
E. F. Hutton & Company INCBroker
November 1984 - April 1988 · 3 yrs 5 mos
State Registrations20 states
AZCACOFLIDLAMAMIMNNHNJNVNYOHOKORPATXUTWY
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.