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John Mann

UBS Financial Services INC.
37 Years of Experience
Baton Rouge, LA
1 DisclosureBroker
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John Mann is a registered investment advisor at UBS Financial Services INC., based in Baton Rouge, LA, with 37 years of industry experience. John 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

7150 Jefferson Highway, Baton Rouge, LA, 70806

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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
March 2010
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John owns several real estate properties and is the sole owner of FJMHC, LLC (now Pleasant Oaks Park LLC), Pleasant Oaks Homes, LLC, Pleasant Oaks Mobile Home Park, 13405, LLC, JGM Investments, and Mann Energy, LLC, which he uses to hold a 3% share in an oil well venture. He dedicates minimal time to these businesses.

Employment History
Current Registrations
UBS Financial Services INC.
October 2015 - Present · 11 yrs
UBS Financial Services INC.Broker
October 2015 - Present · 11 yrs
Previous Registrations
Raymond James & Associates, INC.
February 2013 - October 2015 · 2 yrs 8 mos
Raymond James & Associates, INC.Broker
February 2013 - October 2015 · 2 yrs 8 mos
Morgan Keegan & Company, INC.
February 2008 - February 2013 · 5 yrs
Morgan Keegan & Company, INC.Broker
January 2008 - February 2013 · 5 yrs 1 mo
Citigroup Global Markets INC.Broker
May 2004 - February 2008 · 3 yrs 9 mos
Merrill Lynch Pierce Fenner & Smith INC.
February 1991 - May 2004 · 13 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1989 - May 2004 · 15 yrs 1 mo
State Registrations15 states
ALARCACTFLLAMDMIMSOHPRSCTNTXVA
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.
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