Roshan Ghaznavi
Roshan Ghaznavi is a registered investment advisor at UBS Financial Services INC., based in Sherman Oaks, CA, with 27 years of industry experience. Roshan 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 (3)
Customer Dispute
February 2016Customer Dispute
September 2007Customer Dispute
March 2004Other Business Activities
Roshan is involved with Hayvenhurst Property, an REO, dedicating minimal time quarterly. He is also a partner at ryg capital, a real estate business, with minimal time commitment.
Employment History
Current Registrations
UBS Financial Services INC.Broker
UBS Financial Services INC.
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Citicorp Investment Services
Citicorp Investment ServicesBroker
Cal Fed InvestmentsBroker
State Registrations20 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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