Mark Brody
Mark Brody is a registered investment advisor at Financial Planning Analysts, LLC, based in Melville, NY, with 39 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Divorce Planning, Education Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 41 clients with $26M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $2.0M | 1.50% |
| $2.0M - $4.0M | 1.30% |
| $4M+ | 1.15% |
The fee schedule is negotiable and may be reduced for circumstances such as length of the relationship and design of the portfolio (e.g., accounts managed that predominantly utilize ETFs and/or closed-end funds are generally charged a reduced fee.)
Fee Estimator
Location
734 Walt Whitman Rd, Ste 301, Melville, NY, 11747
Get directionsHistory
Regulatory History (2)
Customer Dispute
August 2020Customer Dispute
March 2009Other Business ActivitiesSells Insurance
Mark is a managing member at Financial Planning Analysts, LLC, focusing on portfolio construction, dedicating nearly full-time hours. He is also a director at Unity Bancorp, spending about 10-20% of his time, and an arbitrator for FINRA, spending minimal time. Mark is also a life and annuity agent with Nestegg Builders, spending minimal time.
Employment History
Current Registrations
Financial Planning Analysts, LLC
Planned Financial Programs, INC.
Planned Financial Programs, INC.Broker
Previous Registrations
Financial Planning Analysts, LLC
W. S. Griffith & CO., INC.Broker
State Registrations3 states
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.