Scott Shepherd, financial advisor Los Gatos CA
93 score

Scott Shepherd

CRD Number: 1068502
Current Firm: Ubs Financial Services Inc.

Scott Shepherd (CRD# 1068502) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Los Gatos, CA and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Los Gatos, CA Nov 2013 - Current 3
Ubs Financial Services Inc. San Jose, CA Jan 2009 - Nov 2013 4
Morgan Stanley & Company, Incorporated Santa Cruz, CA Apr 2007 - Jan 2009 1
Dean Witter Reynolds Inc. San Jose, CA Jul 1982 - Apr 2007 24
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1982
Contact Info for Scott G. Shepherd
Phone Number: 201-352-3000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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