Glen Warren Darby

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-04-22
TX	RA	APPROVED	2014-09-12
CT	RA	APPROVED	2014-08-13

FL RA
APPROVED

Since 2021-04-22
TX RA
APPROVED

Since 2014-09-12
CT RA
APPROVED

Since 2014-08-13

Branch Locations

Vero Beach, FL • United States

One Post Office Square, Boston, MA 02109 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Boston	MA	08/2014	Present

08/2014 → Present

Ubs Financial Services Inc.

Boston, MA

Previous Registrations

2011-07-11 → 2014-09-05

Barclays Capital Inc.

Boston, MA
1989-10-13 → 2011-07-12

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA

Boston, MA

Boston, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-01-07
S63	Uniform Securities Agent State Law Examination	1983-10-26

S65 Uniform Investment Adviser Law Examination

1993-01-07
S63 Uniform Securities Agent State Law Examination

1983-10-26

Other Names

Glen Darby

View on SEC IAPD