DL
Daniel M. Lay
H. M. PAYSON & CO.
Portland, ME 04101
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CRD#: 1263172
DL
Professional summary
Daniel Michael Lay is a registered financial advisor currently at H. M. PAYSON & CO. located in Portland, Maine.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Daniel has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Michael Lay'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
April 11, 2007 - Present
H. M. PAYSON & CO.
Office #1: One Portland Square 5th Floor, Portland, ME, 04101RIA
CRD#: 2993
Portland, ME
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".
H. M. PAYSON & CO.
H. M. PAYSON & CO. | H.M. PAYSON & CO. | H.M. PAYSON
CRD#: 2993 / SEC#: 801-3901, 8-2205
RIA
Registered Investment Advisory firm - SEC (1/15/1966 Approved)BD
Terminated by SEC on 12/19/2008
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
Maine(4/11/2007)
Current Firm
H. M. PAYSON & CO.
H. M. PAYSON & CO. | H.M. PAYSON & CO. | H.M. PAYSON
CRD#: 2993 / SEC#: 801-3901, 8-2205
RIA
Registered Investment Advisory firm - SEC (1/15/1966 Approved)BD
Terminated by SEC on 12/19/2008
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Contact information
Main Address
One Portland Square 5th Floor, Portland, ME, 04101
Mailing Address
Po Box 31, Portland, ME 04112
Phone number
(207) 772-3761
Established
Maine since 01/01/1987
Firm type
Corporation
Fiscal year end
April
# of Employees
36
SEC notice filing (40 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CURRIE, MICHAEL ROBERT | MANAGING DIRECTOR & PRESIDENT | 2880899 |
| DOWNING, JOHN CLAYTON | MANAGING DIRECTOR & TREASURER & CHIEF COMPLIANCE OFFICER | 1227358 |
| ESPOSITO, TERESA MARGARET | MANAGING DIRECTOR & CHIEF OPERATIONS OFFICER | 2729388 |
| KNOX, JOHN CLEVELAND | MANAGING DIRECTOR | 824859 |
| PIERCE, THOMAS MADIGAN | MANAGING DIRECTOR | 819198 |
| ROBBINS, PETER ELIOT | MANAGING DIRECTOR & CHAIR EXECUTIVE COMMITTEE | 1022085 |
| WALKER, JOHN HERMAN | MANAGING DIRECTOR & CHAIRMAN OF THE BOARD | 457194 |
| WEICKERT, WILLIAM NELSON JR | MANAGING DIRECTOR & SECRETARY & DIRECTOR OF RESEARCH | 1046321 |
| BELIVEAU, JOHN SEVERIN | MANAGING DIRECTOR | 2044870 |
| HARRIS, JOEL SHOREY | MANAGING DIRECTOR | 1028770 |
Regulatory assets under management
| Total Number of Accounts | 4,190 |
| AUM (Assets Under Management) | $ 8,129,599,283 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 11/16/2023 | ||
| 12/22/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
H. M. PAYSON & CO.
CRD#: 2993Portland, ME 04101TRUST BUT VERIFY
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