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John Sullivan

48 Years of Experience
San Francisco, CA
2 DisclosuresBroker

John Sullivan is a registered investment advisor at UBS Financial Services INC., based in San Francisco, CA, with 48 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

555 California Street, 32nd Floor/ Suite 3200, San Francisco, CA, 94104

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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.
Regulatory
March 1997
Final
Customer Dispute
February 1992
Settled
Employment History
Current Registrations
UBS Financial Services INC.
March 2011 - Present · 15 yrs 6 mos
UBS Financial Services INC.Broker
March 2011 - Present · 15 yrs 6 mos
UBS Financial Services INC.
March 2011 - Present · 15 yrs 6 mos
Previous Registrations
Jefferies Investment Advisers, LLC
October 2007 - March 2011 · 3 yrs 5 mos
Jefferies & Company, INC.Broker
September 2007 - March 2011 · 3 yrs 6 mos
Credit Suisse Securities (USA) LLCBroker
January 2003 - November 2007 · 4 yrs 10 mos
Credit Suisse Securities (USA) LLC
January 2003 - November 2007 · 4 yrs 10 mos
Donaldson Lufkin & Jenrette Securities Corporation
July 2002 - January 2003 · 6 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
March 1999 - January 2003 · 3 yrs 10 mos
Warburg Dillon Read LLCBroker
August 1998 - March 1999 · 7 mos
Piper Jaffray INC.Broker
November 1996 - August 1998 · 1 yr 9 mos
Bear, Stearns & CO. INC.Broker
August 1990 - November 1996 · 6 yrs 3 mos
Lehman Brothers Kuhn Loeb IncorporatedBroker
October 1979 - June 1984 · 4 yrs 8 mos
Lehman Brothers INC.Broker
August 1979 - August 1990 · 11 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - October 1979 · 1 yr 1 mo
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
December 1977 - September 1978 · 9 mos
State Registrations9 states
AZCACODEFLHINJNYPA
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.