Stephen Dennis Arkwright

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2010-09-16
OK	RA	APPROVED	2005-02-09
TX	RA	APPROVED	1989-01-12

MI RA
APPROVED

Since 2010-09-16
OK RA
APPROVED

Since 2005-02-09
TX RA
APPROVED

Since 1989-01-12

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Rochester	MI	01/1989	Present

01/1989 → Present

Ubs Financial Services Inc.

Rochester, MI

Other Businesses

FINRA Industry Arbitrator, Washington DCUnited States-20006, I have been a FINRA Industry Arbitrator for over 25 years and would like to continue that role, Financial (Consumer & Investment Services), FINRA Industry Arbitrator, Arbitrator, Hear and decide Arbitration cases, start date-1/1/1995.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-06-09
S63	Uniform Securities Agent State Law Examination	1984-09-28

S65 Uniform Investment Adviser Law Examination

1993-06-09
S63 Uniform Securities Agent State Law Examination

1984-09-28

View on SEC IAPD