TrueAdvisor
TrueAdvisor
MB
MB

Mark Brenner

UBS Financial Services INC.
41 Years of Experience
Santa Barbara, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Mark Brenner is a registered investment advisor at UBS Financial Services INC., based in Santa Barbara, CA, with 41 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B

Fee Structure

Investment management only (planning not offered)
  • Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
View Full SEC Brochure

Location

222 E. Carrillo St., Suite 106, Santa Barbara, CA, 93101

Get directions

History

Regulatory History (1)
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.
Customer Dispute
March 1999
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
August 2021 - Present · 5 yrs 2 mos
UBS Financial Services INC.Broker
August 2021 - Present · 5 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2009 - August 2021 · 12 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2009 - August 2021 · 12 yrs 6 mos
Citigroup Global Markets INC.
July 1997 - March 2009 · 11 yrs 8 mos
Citigroup Global Markets INC.Broker
May 1995 - March 2009 · 13 yrs 10 mos
Everen Securities, INC.Broker
September 1990 - May 1995 · 4 yrs 8 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
May 1988 - September 1990 · 2 yrs 4 mos
Painewebber IncorporatedBroker
April 1985 - June 1988 · 3 yrs 2 mos
State Registrations23 states
AZCACOCTDEFLGAHIIDMAMNMSNCNJNMNYOHORSCSDTXUTWA
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.
More Advisors
More financial advisors in Santa Barbara, CA →All financial advisors in California →