Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark William Broughton is an investment advisor representative who has been in the industry since 2015. He is currently registered with UBS Financial Services Inc. and has previously worked with First Republic Securities Company, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Manning & Napier Investor Services, Inc. Mark Broughton holds the Series 2, 7, 65, and 66 securities licenses, in addition to the SIE. Mark is also a Chartered Financial Analyst.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
WA
09/06/2022 - Present
UBS Financial Services Inc. (SEATTLE WA)
CA
08/11/2020 - 08/16/2022
FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN FRANCISCO CA)
WA
04/30/2018 - 08/14/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BELLEVUE WA)
NY
01/25/2018 - 03/01/2018
MANNING & NAPIER INVESTOR SERVICES, INC. (FAIRPORT NY)
BOTH
Issued 02/09/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/12/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2018
Series 7 - General Securities Representative Examination
BC
Issued 03/05/1996
Series 2 - Non-Member General Securities Examination
Active
Inactive
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
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