Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David b.? Claim Your ProfileDavid Arnold is an investment advisor with UBS Financial Services Inc. David has been in the financial industry since August 1996 and has been with UBS since January 1999. David is registered with the Securities and Exchange Commission (SEC) as a broker-dealer and investment advisor. David is also registered in numerous states as an investment advisor and broker-dealer. David has a broad range of experience in the financial services industry, including securities, investment advisory, and financial planning. David is committed to providing his clients with the highest quality financial advice and service.
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
TN
07/27/2010 - Present
UBS Financial Services Inc. (JOHNSON CITY TN)
NY
06/28/2000 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NC
08/22/1996 - 01/29/1999
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 08/09/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/07/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/30/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1996
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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