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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Gregory Shanken is an investment advisor representative with Ubs Financial Services INC. located in San Francisco, CA. Alan has been in the industry since 1984 and has been with Ubs Financial Services INC. since December 2015. Previously, Alan worked at Credit Suisse Securities (USA) LLC for 13 years. Alan holds FINRA Series 3, 7, and 66 licenses. Alan also has Series 63 licensing. Alan has been registered with the following states: Arizona, California, Colorado, Florida, Idaho, Illinois, Louisiana, Massachusetts, Michigan, Minnesota, Montana, Nevada, New Hampshire, New Jersey, New York, Oklahoma, Oregon, Pennsylvania, Texas, Utah, Vermont, Virginia and Washington. Alan also works with the University of Arizona Foundation and is a member of the Investment Committee. Alan is a Partner in several other businesses including 3489 Sacramento LLC, Otay Canyon Ranch, Baker Mountain Green, Equilibrium Fund Manager LLC, GLF3 Brewer Road, Sonoma Brands III, and EA Bros. Alan specializes in financial planning, pension consulting, educational seminars, portfolio management for businesses and individuals, and publication of periodicals. Alan has a strong track record of success in the financial services industry. Alan is committed to providing his clients with the highest quality advice and service.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
12/04/2015 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
11/10/2000 - 12/21/2015
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
NJ
05/12/1995 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
02/15/1990 - 04/28/1997
LEHMAN BROTHERS INC.
NY
04/11/1988 - 04/28/1997
LEHMAN BROTHERS INC. (NEW YORK NY)
CA
08/01/1988 - 02/21/1990
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
11/21/1984 - 04/11/1988
E. F. HUTTON & COMPANY INC
BOTH
Issued 4/4/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/4/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/4/1985
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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