MARK WILLIAM BROUGHTON is an investment adviser representative (IAR) with state registration records since 2004, appearing at 4 firms. Currently registered with UBS FINANCIAL SERVICES INC..
| Firm | From | To | Current |
|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | 2022-09-02 | present | Yes |
| J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | 2020-08-11 | 2022-08-16 | — |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2018-04-30 | 2020-08-14 | — |
| RAINIER INVESTMENT MANAGEMENT LLC | 2004-08-02 | 2006-11-27 | — |