MP
MP

Mark Pomo

39 Years of Experience
Short Hills, NJ
1 DisclosureBroker

Mark Pomo is a registered investment advisor at UBS Financial Services INC., based in Short Hills, NJ, with 39 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

51 Jfk Parkway, Suite 303, Short Hills, NJ, 07078

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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
July 2009
Settled
Employment History
Current Registrations
UBS Financial Services INC.Broker
May 2012 - Present · 14 yrs
UBS Financial Services INC.
May 2012 - Present · 14 yrs
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - June 2012 · 3 yrs
Morgan Stanley Smith Barney LLC
June 2009 - June 2012 · 3 yrs
Citigroup Global Markets INC.
August 2002 - June 2009 · 6 yrs 10 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
January 1987 - July 1993 · 6 yrs 6 mos
State Registrations40 states
AKALARAZCACOCTDCDEFLGAILINKSLAMAMDMEMIMNMOMTNCNENHNJNMNVNYOHORPARISCSDTNTXVAVTWA
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.
Mark Pomo - Financial Advisor | TrueAdvisor