Mark William Broughton
Investment adviser representative at UBS Financial Services Inc.
24 yearsExperience
10 statesRegistered in
CFADesignation
$915.8BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
24 years in the industry.
- UBS Financial Services Inc.Aug 2022 to now
- First Republic Investment Management, Inc.Aug 2020 to Aug 2022
- First Republic Securities Company, LLCAug 2020 to Aug 2022
- Bank of America, N.A.May 2018 to Aug 2020
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 2018 to Aug 2020
- Manning & Napier Investor Services, Inc.Nov 2017 to Feb 2018
- Rainier Investment ManagementMar 2002 to Nov 2017
Designations
- CFA
Exams passed
- Series 65 · Uniform Investment Adviser Law1996
- Series 66 · Uniform Combined State Law2018
State registrations
Registered as an investment adviser representative in 10 states (AL, CA, CO, ME, MI, NJ, NV, NY, TX, WA).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2153335
- Firm CRD
- 8174