Kelly ArndtCRD Number: 4499990
Current Firm: Ubs Financial Services Inc.
Kelly Arndt (CRD# 4499990) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Sylvania, OH and has over 15 years of experience in the finance industry.
Bollin Wealth Management, LLC
Independence Capital Company, Inc.
Ameriprise Financial Services, Inc.
|Ubs Financial Services Inc.||Sylvania, OH||Apr 2016 - Current||1|
|Morgan Stanley||Toledo, OH||Sep 2013 - Apr 2016||2|
|Morgan Stanley Private Bank, National Association||New York, NY||Jan 2015 - May 2015||< 1|
|Morgan Stanley Smith Barney LLC||Toledo, OH||Jun 2009 - Sep 2013||4|
|Morgan Stanley & Company Incorporated||Toledo, OH||Dec 2008 - Jun 2009||< 1|
|Merrill Lynch||Toledo, OH||May 2008 - Dec 2008||< 1|
|Smith Barney||Toledo, OH||Dec 2002 - May 2008||5|
|Citigroup Global Markets Inc.||Toledo, OH||Dec 2002 - Apr 2008||5|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jul 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV