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KD

Kevin L. Daly

Some features on this profile are disabled
CRD#: 1256940
KD

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.

Kevin Lawrence Daly was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1984. Kevin had worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

July 31, 2012 - January 11, 2015

MIDDLEMARCH CAPITAL LLC

RIA
CRD#: 141431
KENTFIELD, CA
Past

February 15, 2007 - December 6, 2007

MIDDLEMARCH CAPITAL LLC

RIA
CRD#: 141431
KENTFIELD, CA
Past

January 10, 1991 - August 9, 2006

HOEFER & ARNETT CAPITAL MANAGEMENT, INC.

RIA
CRD#: 110561
SAN FRANCISCO, CA
Past

April 27, 1984 - December 16, 2005

HOEFER & ARNETT, INCORPORATED

BD
CRD#: 10883
SAN FRANCISCO, CA

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
RR
IAR
Series 66
Date: 4/29/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/17/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/17/1988
Financial and Operations Principal Examination

Current Firm

MC
MIDDLEMARCH CAPITAL LLC
MIDDLEMARCH CAPITAL LLC

CRD#: 141431 / SEC#: 801-67129

RIA
Registered Investment Advisory firm - (4/19/2007 Terminated)
California
Registered Investment Advisory firm - (1/11/2015 Terminated)
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Contact information

Main Address
Kentfield, CA
Mailing Address
Phone number
(415) 464-1301
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
CaliforniaERA - Active1/13/2015

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.

Company Information

MIDDLEMARCH CAPITAL LLC

CRD#: 141431

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