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Credentials
Series 63
Experience Industry experience
36 years
Location
Helena, CA
UBS Financial Services
Institution
Shawn Oliver is a financial advisor at UBS Financial Services with 35 years of industry experience. He previously worked at Morgan Stanley Private Bank and Morgan Stanley Smith Barney. Outside of his advisory work, he is co-owner of Oliver Racing LLC and involved in wine production and sales through Oliver Family Wines in Napa, California. UBS Financial Services serves individual, corporate, and institutional clients by providing brokerage and investment advisory services, combining institutional trading capabilities with wealth management offerings. The firm employs proprietary research and model-based allocations to tailor plans to client goals and risk tolerances.
Based on UBS Financial Services
Based on UBS Financial Services
Commissions for securities transactions, including equities, mutual funds, ETFs, and insurance products
Minimum fee: General range $500 to $50,000, typically $1,000 to $10,000; fees greater than $50,000 and up to $100,000 may be permitted for complex situations
Helena, CA
Helena CA
Advisors at this office
1
California · Texas
36 years of industry experience
UBS financial Services INC
2019 - Present • 7 years
Napa, CA
Morgan Stanley Private Bank, National Association
2015 - 2019 • 4 years
New York, NY
Morgan Stanley Smith Barney
2009 - 2019 • 10 years
Napa, CA
Morgan Stanley & Co. LLC
2007 - 2009 • 2 years
Napa, CA
Morgan Stanley Dw Inc.
1997 - 2007 • 10 years
Napa, CA
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
A client's investment-related complaint, arbitration or lawsuit, including ones that were denied, withdrawn or settled.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
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