Alan Gregory Shanken

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2015 → Present
  Ubs Financial Services Inc
  San Francisco, CA

Previous Registrations

• 2003-01-17 → 2015-12-21
  Credit Suisse Securities (Usa) Llc
  San Francisco, CA
  San Francisco, CA
• 1997-07-08 → 2003-01-17
  Pershing Llc
  San Francisco, CA

Other Businesses

1) UNIVERSITY OF ARIZONA FOUNDATION; 1111 N. Cherry St, Tucson, AZ; Member of the Investment Committee of the University of Arizona Foundation; I would be on the Board of Trustees of the University of Arizona Foundation and be part of the Investment Committee. My roll would be to help advise the CIO; 6/30/2018 /// 2) 3489 SACRAMENTO LLC; 3489 Sacramento St, San Francisco, CA 94118; This LLC holds one Real Estate asset; Advisor or advisory group member if advice given may influence an officer/board; Manager; 8/25/2017; Business hours per month: No /// 3) OTAY CANYON RANCH; ColRich, San Diego, CA; Real Estate Investing; Partner; Passive Investor; 11/15/2017 /// 4) BAKER MOUNTAIN GREEN; 3333 East Speedway Blvd, Tucson, AZ 85716; Real Estate; Partner; Passive Investor; 2/1/2018 /// 5) EQUILIBRIUM FUND MANAGER LLC; 220 6th St, Tucson, AZ; Real Estate Investments; Partner; 1/1/2018 /// 6) GLF3 BREWER ROAD, PO Box 5076, Modesto, 95352; Almond Farming; Partner; I will be a silent non-voting limited partner; 2/15/2019 /// 7) SONOMA BRANDS III; 153 W. Napa St, Sonoma; CA 95476; Food and beverage incubation and investments; Partner; Limited Partner; 3/22/2019 /// 8) NAME OF OTHER BUSINESS:EA BROS / INVESTMENT RELATED?:Y/ ADDRESS: 3120 N. Arizona Ave / NATURE OF THE BUSINESS: Real Estate Investing / POSITION: Partner / DUTIES: Passive Investor / START DATE: 10/19/2004 /// 9) ColRich Heritage Park / Investment Fund or Hedge Fund / Real Estate Investing / Partner / Passive Investor

Exams

• S66 Uniform Combined State Law Examination
  2002-04-04
• S63 Uniform Securities Agent State Law Examination
  1984-12-04