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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Arnold is an investment advisor representative with UBS Financial Services Inc., based in Mishawaka, IN. Daniel has been in the securities industry since January 1992. Daniel has held previous roles with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Smith Barney Inc., and Lehman Brothers Inc. Daniel specializes in providing financial advice and services to individuals, families, and businesses.
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
IN
04/15/2016 - Present
UBS Financial Services Inc. (MISHAWAKA IN)
IN
01/17/1997 - 04/05/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT WAYNE IN)
NY
07/31/1993 - 01/28/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
01/28/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 05/22/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/04/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/15/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/30/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/2013
Series 3 - National Commodity Futures Examination
BC
Issued 01/27/1992
Series 7 - General Securities Representative 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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