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Mark French

UBS Financial Services INC.
31 Years of Experience
Mt. Pleasant, SC
1 DisclosureBroker
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Mark French is a registered investment advisor at UBS Financial Services INC., based in Mt. Pleasant, SC, with 31 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

941 Houston Northcutt Blvd, Suite 100, Mt. Pleasant, SC, 29464

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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 2022
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mark is a board member on the finance committee for Charleston Catholic School, advising the principal on the school budget, dedicating minimal time. He also records commercials for local radio stations, spending minimal time and receiving no compensation.

Employment History
Current Registrations
UBS Financial Services INC.
September 2015 - Present · 11 yrs 1 mo
UBS Financial Services INC.
September 2015 - Present · 11 yrs 1 mo
UBS Financial Services INC.Broker
September 2015 - Present · 11 yrs 1 mo
Previous Registrations
Bb&t Securities, LLC
January 2013 - September 2015 · 2 yrs 8 mos
Bb&t Securities, LLCBroker
January 2013 - September 2015 · 2 yrs 8 mos
Scott & Stringfellow, LLC
June 2004 - January 2013 · 8 yrs 7 mos
Scott & Stringfellow, LLCBroker
August 2001 - January 2013 · 11 yrs 5 mos
Presidential Brokerage, INC.Broker
September 1998 - September 2001 · 3 yrs
Waldron & CO., INC.Broker
December 1997 - September 1998 · 9 mos
Financial West GroupBroker
June 1994 - March 1995 · 9 mos
Chatfield Dean & CO., INC.Broker
February 1992 - July 1993 · 1 yr 5 mos
Chatfield Dean & CO., INC.Broker
March 1990 - February 1991 · 11 mos
State Registrations21 states
AZCACODEFLGAILMAMDMEMONCNJNYOHORSCTNTXVAWA
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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