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David Arnold

UBS Financial Services INC.
30 Years of Experience
Johnson City, TN
1 DisclosureBroker
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David Arnold is a registered investment advisor at UBS Financial Services INC., based in Johnson City, TN, with 30 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B

Fee Structure

Investment management only (planning not offered)
  • Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
View Full SEC Brochure

Location

214 East Mountcastle Drive, Johnson City, TN, 37601

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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
March 1999
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.
January 2004 - Present · 22 yrs 9 mos
UBS Financial Services INC.
January 1999 - Present · 27 yrs 9 mos
UBS Financial Services INC.Broker
January 1999 - Present · 27 yrs 9 mos
Previous Registrations
J.C. Bradford & CO.Broker
June 2000 - August 2000 · 2 mos
Wheat, First Securities, INC.Broker
August 1996 - January 1999 · 2 yrs 5 mos
State Registrations34 states
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AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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