Mark
Thompson

Ubs Financial Services Inc

CRD#5849705
Investment Advisor
in Los Angeles, CA

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About this Advisor

Mark Thompson is an investment advisor in Los Angeles, California. Currently a registered financial advisor with Ubs Financial Services Inc, they have gathered 10 years of work experience. Thompson holds a Series 66 license, which designates them as both a securities agent and an investment advisor representative. Thompson can advise clients in California. Throughout their career, Thompson has worked at Ubs Financial Services Inc and Pepperdine University Graziadio School Of Business And Managemen. Ubs Financial Services Inc is located in Los Angeles, California, and has 369 brick-and-mortar locations across the country. In total, Ubs Financial Services Inc oversees $591 billion in assets throughout 975,301 client accounts and retains more than 15,605 people. The firm's total assets under management places it among the biggest investment advisory firms in the country. The firm manages 522,287 accounts on a discretionary basis, in which the advisor has the authority to make all investment decisions. Currently 58% of the firm's customers are high-net-worth individuals, meaning they have greater than $1 million in assets. Ubs Financial Services Inc can provide financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services and educational seminars. The firm's fees may include asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 66

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Disclosures

No

Office Location

2000 Avenue Of The Stars
Los Angeles, CA 90067

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$591,360,861,325

CA Average: $10,121,009,343
Total Number of Employees

15,605

CA Average: 92
Total Number of Accounts

975,301

CA Average: 6,978
Average Account Size

$606,337

CA Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

Mark Thompson Work History

Mark has 10 years of experience.

2011 - Present (9 years)

Ubs Financial Services Inc

2010 - 2011 (1 year)

Pepperdine University Graziadio School Of Business And Managemen

Disclosures

Mark Thompson has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Ubs Financial Services Inc

Edward Van Der Velden
San Mateo, CA
Guillermina Alonso
Miami, FL
Antwyne Delonde
Hunt Valley, MD
Adam Rivera
New York, NY
Dennis Steele
Nashville, TN
Jamie Cohen
Mount Laurel, NJ
Meredith Farber
Stamford, CT
Sandra Sanchez Heredia
San Diego, CA

This content was compiled from the SEC and FINRA.

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