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Hsueh-Sheng Su

UBS Financial Services INC.
29 Years of Experience
Pasadena, CA
2 DisclosuresBroker
View SEC Summary
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Hsueh-Sheng Su is a registered investment advisor at UBS Financial Services INC., based in Pasadena, CA, with 29 years of industry experience. Hsueh-Sheng 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.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B

Fee Structure

Investment management only (planning not offered)
  • 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.
One-Time Plan:$500 - $50,000
View Full SEC Brochure

Location

251 South Lake Avenue, 10th Floor, Pasadena, CA, 91101

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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
November 2004
Denied
Customer Dispute
November 2003
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
February 2016 - Present · 10 yrs 8 mos
UBS Financial Services INC.Broker
February 2016 - Present · 10 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2004 - February 2016 · 12 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2004 - February 2016 · 12 yrs 1 mo
Uboc Investment Services, INC.
March 2003 - February 2004 · 11 mos
Uboc Investment Services, INC.Broker
January 1999 - February 2004 · 5 yrs 1 mo
Wma Securities, INC.Broker
April 1997 - February 1999 · 1 yr 10 mos
State Registrations6 states
CAMINJNVNYUT
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.
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