James Sheffield
James Sheffield is a CFP-designated registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 28 years of industry experience. James 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 St, 34th, 36th & 46th Floors, San Francisco, CA, 94104
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2022Other Business Activities
James was a board member of The City Club of San Francisco from 2011 to 2012, advising on membership issues. This activity is not investment-related.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Dean Witter Reynolds INC.Broker
State Registrations22 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.