Mark Broughton is a CFA-designated registered investment advisor at UBS Financial Services INC., based in Seattle, WA, with 10 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
Firm Size
IM Fee
Assets Under Management
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.
Location
925 Fourth Avenue, 31st & 32nd Floor, Seattle, WA, 98104
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Mark is an advisory board member for the Kirkland Boys & Girls Club, a non-profit charitable organization, since 2018. He spends minimal time per month on fundraising and community outreach.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
First Republic Investment Management, INC.
First Republic Securities Company, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Manning & Napier Investor Services, INC.Broker
Rainier Investment Management,inc.
State Registrations43 states
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