Shawn Shafer
Shawn Shafer is a registered investment advisor at UBS Financial Services INC., based in Sherman Oaks, CA, with 28 years of industry experience. Shawn 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
15260 Ventura Boulevard, Suite 1800, Sherman Oaks, CA, 91403
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2009Other Business Activities
Shawn is a managing member of Equity Stretch Investments LLC, a real estate company, since 2014. He is involved in purchasing real estate and landlord duties.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations36 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
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