SN
SN
Steven Nassau
46 Years of Experience
Irvine, CA
3 DisclosuresBroker
Steven Nassau is a registered investment advisor at UBS Financial Services INC., based in Irvine, CA, with 46 years of industry experience. Steven 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
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
Loading...
Location
200 Spectrum Center Drive Suite 1800, Irvine, CA, 92618
Get directionsHistory
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
January 2014Denied
Customer Dispute
June 1999Settled
Customer Dispute
January 1998Denied
Employment History
Current Registrations
UBS Financial Services INC.
November 2023 - Present · 2 yrs 11 mos
UBS Financial Services INC.Broker
November 2023 - Present · 2 yrs 11 mos
Previous Registrations
Morgan Stanley
June 2009 - December 2023 · 14 yrs 6 mos
Morgan StanleyBroker
June 2009 - December 2023 · 14 yrs 6 mos
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
July 1992 - July 1993 · 1 yr
Kidder, Peabody & CO. IncorporatedBroker
May 1989 - July 1992 · 3 yrs 2 mos
Drexel Burnham Lambert IncorporatedBroker
April 1984 - June 1989 · 5 yrs 2 mos
Lehman Brothers Kuhn Loeb IncorporatedBroker
February 1981 - May 1984 · 3 yrs 3 mos
E. F. Hutton & Company INCBroker
January 1980 - March 1981 · 1 yr 2 mos
State Registrations21 states
ALAZCACOCTDEFLGAIDMDMNNJNVNYORPATXVAVTWAWI
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.
More Advisors
- Taylor ThompsonUBS Financial Services INC.
- Timothy TunneyUBS Financial Services INC.
- Clinton GeeUBS Financial Services INC.
- Gary RothUBS Financial Services INC.
- Joseph KatzaroffUBS Financial Services INC.
- Cheryl Gee, CFPUBS Financial Services INC.