Shawn Oliver
Shawn Oliver is a registered investment advisor at UBS Financial Services INC., based in Napa, CA, with 36 years of industry experience. Shawn 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
- 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.
Location
1455 First Street, Suite 300, Napa, CA, 94559
Get directionsHistory
Regulatory History (2)
Customer Dispute
September 2022Customer Dispute
February 2006Other Business Activities
Shawn co-owns Oliver Racing LLC and is involved in wine production and sales through Oliver Family Wines. He also manages rental properties, dedicating minimal time to these activities.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
Lehman Brothers INC.Broker
Baraban Securities, INC.Broker
State Registrations15 states
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
More Advisors
- Benjamin BergfeltUBS Financial Services INC.
- Michael JankiewiczUBS Financial Services INC.
- Bonnie CopelandUBS Financial Services INC.
- Pamela Thompson, CFPUBS Financial Services INC.
- Gary Norman, ChFCEdward Jones
- Paul Dedora, CFPDedora Capital, INC.