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Daniel Arnold

34 Years of Experience
Mishawaka, IN
1 DisclosureBroker

Daniel Arnold is a registered investment advisor at UBS Financial Services INC., based in Mishawaka, IN, with 34 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

4330 Edison Lakes Parkway, Suite B, Mishawaka, IN, 46545

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2010
Settled
Other Business Activities

Daniel oversaw the management of legacy funds held in trust for the economic development of the city of Fort Wayne from 2016 to 2017. This activity is not investment-related.

Employment History
Current Registrations
UBS Financial Services INC.
April 2016 - Present · 10 yrs 1 mo
UBS Financial Services INC.
April 2016 - Present · 10 yrs 1 mo
UBS Financial Services INC.Broker
April 2016 - Present · 10 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
December 1998 - April 2016 · 17 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1997 - April 2016 · 19 yrs 3 mos
Smith Barney INC.Broker
July 1993 - January 1997 · 3 yrs 6 mos
Lehman Brothers INC.Broker
January 1992 - July 1993 · 1 yr 6 mos
State Registrations26 states
AKAZCACOFLGAIAIDILINKSKYMDMINCNMNVOHOKPASCTNTXVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Daniel Arnold - Financial Advisor | TrueAdvisor