Debra L. Daily
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.
Debra Lynn Daily, who also goes by Debra Lynn Stewart, Debra Lynn Ward, Debra Stewart Ward, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1986. Debra had worked at 7 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2014 - June 14, 2021
R.W. SMITH & ASSOCIATES, LLC
June 6, 2006 - November 4, 2014
ASSOCIATED BOND BROKERS, INC.
September 19, 2002 - August 12, 2005
ASSOCIATED BOND BROKERS, INC.
January 1, 2001 - February 22, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
June 30, 2000 - January 1, 2001
MJK CLEARING, INC.
November 20, 1991 - September 20, 2002
R.W. SMITH & ASSOCIATES, LLC
April 30, 1990 - August 22, 1991
FIRST USA CAPITAL MARKETS, INC.
July 25, 1987 - March 14, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
March 6, 1986 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
R.W. SMITH & ASSOCIATES, LLC
CRD#: 16605 / SEC#: , 8-34240
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
