MP
MP
Mario Ponczek
34 Years of Experience
Hallandale Beach, FL
5 DisclosuresBroker
Mario Ponczek is a registered investment advisor at UBS Financial Services INC., based in Hallandale Beach, FL, with 34 years of industry experience. Mario 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.
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
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Location
1010 S. Federal Highway Suite 2601, Hallandale Beach, FL, 33009
Get directionsHistory
Regulatory History (5)
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
August 2015Denied
Customer Dispute
June 2012Settled
Customer Dispute
July 2010Settled
Customer Dispute
January 2007Settled
Customer Dispute
August 2002Denied
Employment History
Current Registrations
UBS Financial Services INC.
November 2012 - Present · 13 yrs 11 mos
UBS Financial Services INC.
November 2012 - Present · 13 yrs 11 mos
UBS Financial Services INC.Broker
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - November 2012 · 3 yrs 5 mos
Morgan Stanley
June 2009 - November 2012 · 3 yrs 5 mos
Citigroup Global Markets INC.
July 1993 - June 2009 · 15 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
June 1992 - July 1993 · 1 yr 1 mo
State Registrations27 states
CACOCTFLGAHIILINKSLAMAMDMIMONCNHNJNVNYOHORPATNTXVAWAWI
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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