David B. Arnold

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Gaithersburg, MD 20878

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CRD#: 5181401

Professional summary

David Ben Arnold, CFP®, ChFC® is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Gaithersburg, Maryland.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) ARNOLD FINANCIAL SERVICES - OWNER - DBA NAME FOR MARKETING PURPOSES ONLY - GAITHERSBURG, MD - SINCE 10/2010 - INVESTMENT RELATED 2.) ARNOLD FINANCIAL SERVICES LLC - OWNER - LLC FOR SELF AS CORPORATION - GAITHERSBURG, MD - SINCE 10/2010 - INVESTMENT RELATED 3.) DAVID ARNOLD - AGENT - NON-VARIABLE INSURANCE - GAITHERSBURG, MD - SINCE 05/2006 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Ben Arnold's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Ben Arnold's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2016

ChFC^®

Chartered Financial Consultant

Experience

Current

July 31, 2019 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 1 Bank Street Ste. 200, Gaithersburg, MD 20878

RIA

CRD#: 20804

Gaithersburg, MD

Current

July 31, 2019 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 1 Bank Street Ste. 200, Gaithersburg, MD 20878

RIA

CRD#: 20804

Gaithersburg, MD

Past

April 22, 2010 - August 7, 2019

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

ROCKVILLE, MD

Past

July 12, 2006 - August 7, 2019

NATIONWIDE SECURITIES, LLC

CRD#: 11173

ROCKVILLE, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/6/2019)

Delaware
(8/9/2019)

District of Columbia
(8/6/2019)

Florida
(8/28/2019)

Georgia
(1/31/2024)

Hawaii
(11/21/2019)

Maryland
(7/31/2019)

IAR

Maryland
(7/31/2019)

Minnesota
(1/31/2024)

New Hampshire
(4/20/2022)

IAR

New Hampshire
(4/20/2022)

New Jersey
(8/6/2019)

North Carolina
(8/6/2019)

Ohio
(2/4/2022)

Oregon
(1/31/2024)

Pennsylvania
(8/6/2019)

South Carolina
(1/31/2024)

Texas
(8/6/2019)

IAR

Texas
(12/1/2022)

Vermont
(7/31/2025)

Virginia
(8/6/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/8/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/1/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/6/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/11/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/4/2020

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804 / SEC#: 801-57198, 8-38485

RIA

Registered Investment Advisory firm - SEC (1/28/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258

Mailing Address

P.o. Box 5750, Scottsdale, AZ 85261-5750

Phone number

(480) 991-0225

Established

Arizona since 08/21/1987

Firm type

Partnership

Fiscal year end

December

Firm Size

Large

# of Employees

614

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UNITED PLANNERS FINANCIAL SERVICES FORM ADV PART 2A - 8.23.2024 (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
UNITED PLANNERS' GROUP, INC.	GENERAL PARTNER
BAKER, MICHAEL A	PRESIDENT	4037933
BAKER, MICHAEL A	CHIEF EXECUTIVE OFFICE (CEO)	4037933
CUFFARI-AGASI, SHEILA JUNE	EXECUTIVE VICE PRESIDENT	2401020
HAUER, DAVE B	VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER	4018434
OLIVERIO, KENNETH WILLIAM JR	EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER	2957427
SHINDEL, CHAD TRAVIS	VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO)	6232253

Regulatory assets under management

Total Number of Accounts	41,834
AUM (Assets Under Management)	$ 10,637,349,683

Disclosures

Regulatory Event	12
Arbitration	3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David B. Arnold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Ben Arnold's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Ben Arnold's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

Primary Firm SEC Registration

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/2009

Series 63

Date: 11/1/2006

Series 7TO

Date: 1/6/2023

SIE

Date: 10/1/2018

Series 6

Date: 7/11/2006

Series 26

Date: 3/4/2020

FINRA

Current Firm

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

TRUST BUT VERIFY

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