DG
Daniel Glynn
UBS FINANCIAL SERVICES
New York, NY 10171
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CRD#: 6356509
DG
Professional summary
Daniel Glynn, who also goes by Daniel Michael Glynn, is a registered financial professional currently at UBS FINANCIAL SERVICES INC. located in New York, New York and UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2014. Daniel has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel Michael Glynn
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Glynn's 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®
NoneExperience
Current
July 2, 2021 - Present
UBS FINANCIAL SERVICES INC.
Office #1: 1285 Avenue Of The Americas 20th Floor, New York, NY 10171RIA
BD
CRD#: 8174
New York, NY
Current
February 27, 2025 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 Seventh Avenue, New York, NY 10019BD
CRD#: 583
New York, NY
Past
June 8, 2018 - July 2, 2021
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
June 25, 2014 - April 2, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(7/2/2021)
RR
Alaska(7/2/2021)
RR
Arizona(7/2/2021)
RR
Arkansas(7/2/2021)
RR
California(7/2/2021)
RR
Colorado(7/2/2021)
RR
Connecticut(7/2/2021)
RR
Delaware(7/2/2021)
RR
District of Columbia(7/2/2021)
RR
Florida(7/2/2021)
RR
Georgia(7/2/2021)
RR
Hawaii(7/2/2021)
RR
Idaho(7/2/2021)
RR
Illinois(7/2/2021)
RR
Indiana(7/2/2021)
RR
Iowa(7/2/2021)
RR
Kansas(7/2/2021)
RR
Kentucky(7/2/2021)
RR
Louisiana(7/2/2021)
RR
Maine(7/2/2021)
RR
Maryland(7/2/2021)
RR
Massachusetts(7/2/2021)
RR
Michigan(7/2/2021)
RR
Minnesota(7/2/2021)
RR
Mississippi(7/2/2021)
RR
Missouri(7/2/2021)
RR
Montana(7/2/2021)
RR
Nebraska(7/2/2021)
RR
Nevada(7/2/2021)
RR
New Hampshire(7/2/2021)
RR
New Jersey(7/2/2021)
RR
New Mexico(7/2/2021)
RR
New York(7/2/2021)
RR
North Carolina(7/2/2021)
RR
North Dakota(7/2/2021)
RR
Ohio(7/2/2021)
RR
Oklahoma(7/2/2021)
RR
Oregon(7/2/2021)
RR
Pennsylvania(7/2/2021)
RR
Puerto Rico(7/2/2021)
RR
Rhode Island(7/2/2021)
RR
South Carolina(7/2/2021)
RR
South Dakota(7/2/2021)
RR
Tennessee(7/2/2021)
RR
Texas(7/2/2021)
RR
Utah(7/2/2021)
RR
Vermont(7/2/2021)
RR
Virgin Islands(7/2/2021)
RR
Virginia(7/2/2021)
RR
Washington(7/2/2021)
RR
West Virginia(7/2/2021)
RR
Wisconsin(7/2/2021)
RR
Wyoming(7/2/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.
CRD#: 583 / SEC#: , 8-21901
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
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.
