Kenneth P. Daly

AUSTIN PRIVATE WEALTH

AUSTIN, TX

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CRD#: 1093931

Professional summary

Kenneth Paul Daly, who also goes by Kenneth Paul Daly Jr, Kenneth P Daly, is a registered financial advisor currently at AUSTIN PRIVATE WEALTH, LLC located in Austin, Texas.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Kenneth has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kenneth Paul Daly Jr | Kenneth P Daly

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Paul Daly'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®

None

Experience

Current

October 23, 2021 - Present

AUSTIN PRIVATE WEALTH, LLC

RIA

CRD#: 304344

AUSTIN, TX

Past

May 22, 2017 - July 18, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Austin, TX

Past

September 25, 2014 - December 6, 2016

OPTIONSXPRESS, INC.

CRD#: 103849

AUSTIN, TX

Past

May 18, 2011 - June 6, 2013

CHARLES SCHWAB & CO., INC.

CRD#: 5393

AUSTIN, TX

Past

October 21, 2010 - April 11, 2011

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

Past

June 11, 2009 - June 29, 2010

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

Past

March 15, 2007 - November 28, 2008

KERSHNER TRADING GROUP, LLC

CRD#: 16908

AUSTIN, TX

Past

February 8, 2007 - March 9, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

AUSTIN, TX

Past

April 8, 2005 - July 25, 2006

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

Past

November 3, 2004 - April 7, 2005

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

April 18, 1995 - October 19, 2004

KNIGHT CAPITAL MARKETS LLC

CRD#: 38379

PURCHASE, NY

Past

May 13, 1993 - April 18, 1995

TRIMARK SECURITIES, INC.

CRD#: 17232

WHITE PLAINS, NY

Past

August 14, 1992 - February 24, 1993

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 26, 1983 - June 19, 1992

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

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".

AUSTIN PRIVATE WEALTH, LLC

AUSTIN PRIVATE WEALTH | NOKI GROUP, LLC | AUSTIN PRIVATE WEALTH, LLC

CRD#: 304344 / SEC#: 801-116987

RIA

Registered Investment Advisory firm - (7/18/2019 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(10/23/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/23/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/24/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/15/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 12/1/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/1997

General Securities Principal Examination

Current Firm

AUSTIN PRIVATE WEALTH, LLC

AUSTIN PRIVATE WEALTH | NOKI GROUP, LLC | AUSTIN PRIVATE WEALTH, LLC

CRD#: 304344 / SEC#: 801-116987

RIA

Registered Investment Advisory firm - (7/18/2019 Approved)

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Contact information

Main Address

3108 N Lamar Boulevard Suite B100, Austin, TX 78705

Mailing Address

Phone number

(512) 886-4114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (8/15/2025)

FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	5,781
AUM (Assets Under Management)	$ 1,331,171,818

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Kenneth P. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Paul Daly's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

OPTIONSXPRESS, INC.

CHARLES SCHWAB & CO., INC.

TAFFERER TRADING, LLC

TAFFERER TRADING, LLC

KERSHNER TRADING GROUP, LLC

CITICORP INVESTMENT SERVICES

TAFFERER TRADING, LLC

JEFFERIES LLC

KNIGHT CAPITAL MARKETS LLC

TRIMARK SECURITIES, INC.

CIBC WORLD MARKETS CORP.

LAZARD FRERES & CO. LLC

Primary Firm SEC Registration

AUSTIN PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/23/2021

Series 63

Date: 2/24/2005

SIE

Date: 10/1/2018

Series 3

Date: 12/15/2014

Series 55

Date: 12/1/1999

Series 7

Date: 5/21/1983

Series 24

Date: 10/8/1997

Current Firm

AUSTIN PRIVATE WEALTH, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AUSTIN PRIVATE WEALTH, LLC

TRUST BUT VERIFY

Contact information

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