Mark Allen Zeller

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-04-06
CT	RA	APPROVED	2022-04-05
NY	RA	APPROVED	2021-11-30
TX	RA	APPROVED_RES	2009-07-20

FL RA
APPROVED

Since 2022-04-06
CT RA
APPROVED

Since 2022-04-05
NY RA
APPROVED

Since 2021-11-30
TX RA
APPROVED_RES

Since 2009-07-20

Branch Locations

East Hampton, NY • United States

Naples, FL • United States

801 Laurel Oak Drive Suite 500, Suntrust Building, Naples, FL 34108 • United States

1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	New York	NY	11/2013	Present

11/2013 → Present

Ubs Financial Services Inc

New York, NY

Other Businesses

1)JACK MARTIN FUND /P.O. BOX 4952 NEW YORK, NY 10185 /BOARD MEMBER /START DATE 04/10/2007 / 2 HRS PER MONTH. 2)JACK MARTIN FUND P.O. BOX 4952/ NEW YORK, NY 10185 / SECRETARY - NEW ROLE. ALSO, BOARD MEMBER . / OTHER / SECRETARY / START DATE - 11/20/2009 / 2 HRS PER MONTH. 3) A D Revocable Trust, The Adam Dunn Revocable Trust 1, United States , I am listed in the Trust Document as a Successor Trustee to Adam Dunn, the grantor. My role would only become official at the passing or incapacitation of Adam Dunn. ,Start date 3/13/2026

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-11-30
S65	Uniform Investment Adviser Law Examination	1996-11-04
S63	Uniform Securities Agent State Law Examination	1993-10-06

S66 Uniform Combined State Law Examination

2021-11-30
S65 Uniform Investment Adviser Law Examination

1996-11-04
S63 Uniform Securities Agent State Law Examination

1993-10-06

View on SEC IAPD