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Steven Sun

29 Years of Experience
San Francisco, CA
3 DisclosuresBroker

Steven Sun is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 29 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

555 California Street, 33rd Floor, San Francisco, CA, 94104

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History

Regulatory History (3)
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 2006
Closed-No Action
Employment Separation After Allegations
May 2006
Customer Dispute
May 2004
Settled
Other 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.
January 2010 - Present · 16 yrs 4 mos
UBS Financial Services INC.
January 2010 - Present · 16 yrs 4 mos
UBS Financial Services INC.Broker
January 2010 - Present · 16 yrs 4 mos
Previous Registrations
UBS International INC.
May 2006 - January 2010 · 3 yrs 8 mos
UBS International INC.Broker
May 2006 - January 2010 · 3 yrs 8 mos
Credit Suisse Securities (USA) LLCBroker
January 2003 - May 2006 · 3 yrs 4 mos
Credit Suisse Securities
January 2003 - May 2006 · 3 yrs 4 mos
Donaldson Lufkin & Jenrette Securities Corporation
June 2002 - January 2003 · 7 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
November 1997 - January 2003 · 5 yrs 2 mos
Hambrecht & Quist LLCBroker
December 1996 - November 1997 · 11 mos
State Registrations13 states
CACTHIILINMANJNVNYTXUTWAWY
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.