linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Mario Ponczek

UBS Financial Services Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Mario? Claim Your Profile

About Mario Ponczek

Mario Ponczek is a financial advisor with UBS Financial Services Inc. with over 30 years of experience in the financial services industry. Mario has a strong background in investments and financial planning. Mario is registered with the state of California, Florida, Illinois, and Texas.

Firm Information

Mario Ponczek is currently registered with UBS Financial Services Inc.. UBS Financial Services Inc. is a corporation formed on June 30, 1969, headquartered in Weehawken, NJ. With over $50 billion in assets under management, the firm provides a range of advisory services, including financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for businesses and individuals. The firm has over 6,000 licensed agents, 9,000 investment advisor representatives, and 11,000 registered representatives, serving a diverse clientele including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. UBS Financial Services Inc. is registered with the SEC and in all 50 states and Puerto Rico.
UBS Financial Services Inc.

1200 HARBOR BOULEVARD

WEEHAWKEN, NJ 07086

$702.39B

Assets Under Management

21,125

Total Clients

10,299

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

A percentage of the total value of assets under management is charged.

check

other

See schedule d - miscellaneous

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Mario Ponczek’s Registration & Firm History

FL

11/05/2012 - Present

UBS Financial Services Inc. (Hallandale Beach FL)

FL

06/01/2009 - 11/15/2012

MORGAN STANLEY (AVENTURA FL)

FL

07/31/1993 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (AVENTURA FL)

NY

06/11/1992 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

Not sure if Mario Ponczek is right for you?

Licenses & Designations

IA

Issued 06/30/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/16/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/09/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 5 public disclosures for Mario Ponczek. Review regulatory record here.
Not sure if Mario Ponczek is right for you?