William K. Daley

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CRD#: 1238715

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Knox Daley, who also goes by William K Daley, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1984. William had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William K Daley

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 2, 2015 - September 23, 2016

INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134

AUSTIN, TX

Past

August 7, 2015 - September 25, 2015

GROWTH CAPITAL SERVICES, INC.

CRD#: 124658

New York, NY

Past

March 26, 2015 - June 18, 2015

GROWTH CAPITAL SERVICES, INC.

CRD#: 124658

CLAYMONT, DE

Past

December 19, 2011 - June 16, 2014

CFA FINANCIAL LLC

CRD#: 151730

SARASOTA, FL

Past

September 2, 2010 - April 19, 2011

MERCURY CAPITAL ADVISORS, LLC

CRD#: 152338

NEW YORK, NY

Past

October 6, 2009 - December 7, 2010

NIGHTHAWK PARTNERS INC.

CRD#: 44134

NEW YORK, NY

Past

September 17, 2007 - October 6, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 28, 2006 - August 15, 2007

GE INVESTMENT DISTRIBUTORS, INC

CRD#: 32087

STAMFORD, CT

Past

April 1, 2004 - March 14, 2006

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

October 8, 1996 - April 1, 2004

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

December 15, 1988 - September 21, 1992

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

February 26, 1988 - August 9, 1988

DB ALEX. BROWN LLC

CRD#: 17790

Past

September 11, 1984 - July 6, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

February 24, 1984 - August 31, 1984

BECKER PARIBAS INCORPORATED

CRD#: 7635

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/1996

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/6/1989

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/2008

General Securities Principal Examination

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)

Washington

Registered Investment Advisory firm - SEC (8/14/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11801 Domain Blvd 3rd Floor, Austin, TX 78758

Mailing Address

2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732

Phone number

(512) 266-3000

Established

Delaware since 04/07/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
IIB HOLDINGS, CORP.	OWNER
FICHERA, DANTE	CEO/CFO	3059445
GODDARD, HOUSTON ALLEN	CCO AND GENERAL COUNSEL	1260759

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.

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Firm Stability Insights

William K. Daley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GROWTH CAPITAL SERVICES, INC.

GROWTH CAPITAL SERVICES, INC.

CFA FINANCIAL LLC

MERCURY CAPITAL ADVISORS, LLC

NIGHTHAWK PARTNERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GE INVESTMENT DISTRIBUTORS, INC

LAZARD ASSET MANAGEMENT SECURITIES LLC

LAZARD FRERES & CO. LLC

NATWEST MARKETS SECURITIES INC.

DB ALEX. BROWN LLC

UBS FINANCIAL SERVICES INC.

BECKER PARIBAS INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1996

Series 63

Date: 9/20/1996

SIE

Date: 9/23/2016

Series 7

Date: 10/7/1996

Series 3

Date: 10/6/1989

Series 24

Date: 6/30/2008

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INDEPENDENT INVESTMENT BANKERS, CORP.

TRUST BUT VERIFY

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