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Shawn Oliver

35 Years of Experience
Napa, CA
2 DisclosuresBroker

Shawn Oliver is a registered investment advisor at UBS Financial Services INC., based in Napa, CA, with 35 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
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Location

1455 First Street, Suite 300, Napa, CA, 94559

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History

Regulatory History (2)
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
September 2022
Denied
Customer Dispute
February 2006
Denied
Other 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.
May 2019 - Present · 7 yrs
UBS Financial Services INC.
May 2019 - Present · 7 yrs
UBS Financial Services INC.Broker
May 2019 - Present · 7 yrs
Previous Registrations
Morgan Stanley
June 2009 - May 2019 · 9 yrs 11 mos
Morgan StanleyBroker
June 2009 - May 2019 · 9 yrs 11 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
July 1997 - April 2007 · 9 yrs 9 mos
Morgan Stanley Dw INC.Broker
August 1990 - April 2007 · 16 yrs 8 mos
Lehman Brothers INC.Broker
June 1990 - August 1990 · 2 mos
Baraban Securities, INC.Broker
April 1990 - June 1990 · 2 mos
State Registrations14 states
CACOFLHIIDINMAMNNVORTNTXVTWA
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.