Casey Arundel: Arkadios Advisor Fired by UBS

Atlanta, Georgia financial advisor Casey Arundel (CRD# 4925418) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Arkadios, having previously been registered with UBS Financial Services.

Mr. Arundel’s BrokerCheck report discloses his termination from UBS Financial Services. Filed in November 2024, it states that the firm fired him after an internal review concluded that he “traded without authorization in client accounts and was not forthcoming.” The disclosure provides no additional information about these allegations.

A number of FINRA rules prohibit brokers like Mr. Arundel from making unauthorized trades. FINRA Rule 3260, for example, describes specific conditions in which brokers can perform discretionary trades. The rule also prohibits discretionary trading without a customer’s prior written authorization and a firm’s written approval. FINRA Rule 2010, meanwhile, stipulates that brokers must “observe high standards of commercial honor and just and equitable principles of trade.” Generally speaking, this means that they may not conduct unauthorized trades. Brokers who violate these rules may be held liable for damages.

According to the Financial Industry Regulatory Authority, Casey Arundel holds 11 years of securities industry experience. Based in Atlanta, Georgia, he has been registered as a broker and an investment advisor with Arkadios since February 2025. His past registrations includeUBS Financial Services (2015-2024), Merrill Lynch (2014-2015), and LPL Financial (2013-2014). His credentials include the passage of four securities industry qualifying exams: the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California, Connecticut, the District of Columbia, Georgia, Indiana, Louisiana, Minnesota, Missouri, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Vermont, and West Virginia. (Information current as of March 5, 2025.)

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