Steven Sun
Steven Sun is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 29 years of industry experience. Steven 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
555 California Street, 33rd Floor, San Francisco, CA, 94104
Get directionsHistory
Regulatory History (3)
Customer Dispute
September 2006Employment Separation After Allegations
May 2006Customer Dispute
May 2004Other Business Activities
Steven owns rental real estate property since 2015. He is also a board of trustee member at The Stevenson School since 2023.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
UBS International INC.
UBS International INC.Broker
Credit Suisse Securities (USA) LLCBroker
Credit Suisse Securities
Donaldson Lufkin & Jenrette Securities Corporation
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Hambrecht & Quist LLCBroker
State Registrations14 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
- Michael Tabrizi, CFPUBS Financial Services INC.
- James HulburdUBS Financial Services INC.
- Robert WhelanUBS Financial Services INC.
- Evan SwainUBS Financial Services INC.
- Geir FjugstadUBS Financial Services INC.
- Jeffrey BurkeUBS Financial Services INC.