KD
Kathy F. Daly
STIFEL, NICOLAUS & COMPANY
Muncie, IN 47304
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CRD#: 1401920
KD
Professional summary
Kathy Francine Daly is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Muncie, Indiana.
Kathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Kathy has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
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.
***ST. VINCENT RANDOLPH COUNTY HOSPITAL * NO * 2015 JACKSON STREET, ANDERSON, IN (REGIONAL ADDRESS) * HEALTH CARE - NONPROFIT * REGIONAL BOARD MEMBER REPRESENTING IU HEALTH BALL MEMORIAL HOSPITAL * BOARD MEMBER * FEBRUARY 2014 * THREE HOURS * THREE HOURS * ATTEND BOARD MEETINGS; HEAR REPORTS FROM INDIANAPOLIS; VOTE ON ISSUES RELATED TO THE REGION ***
CRS (Client Relationship Summary) - RIA
Click below to view Kathy Francine Daly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathy Francine Daly'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
February 28, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3591 North Briarwood Lane, Muncie, IN 47304RIA
BD
CRD#: 793
Muncie, IN
Current
February 28, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3591 North Briarwood Lane, Muncie, IN 47304RIA
BD
CRD#: 793
Muncie, IN
Past
January 3, 2006 - February 28, 2017
CITY SECURITIES CORPORATION
RIA
CRD#: 1459
MUNCIE, IN
Past
April 14, 2004 - January 4, 2005
CITY SECURITIES CORPORATION
RIA
CRD#: 1459
MUNCIE, IN
Past
April 14, 2004 - February 28, 2017
CITY SECURITIES CORPORATION
BD
CRD#: 1459
MUNCIE, IN
Past
July 30, 2002 - April 15, 2004
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
MUNCIE, IN
Past
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
May 3, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
July 14, 1995 - April 15, 2004
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
February 13, 1989 - July 14, 1995
RAFFENSPERGER, HUGHES & CO., INC.
BD
CRD#: 699
INDIANAPOLIS, IN
Past
December 18, 1985 - February 13, 1989
K. J. BROWN & CO., INC.
BD
CRD#: 477
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/20/2017)
RR
Arizona(2/28/2017)
RR
California(2/28/2017)
RR
Colorado(2/28/2017)
RR
Delaware(11/12/2024)
RR
Florida(2/28/2017)
RR
Hawaii(9/25/2025)
RR
Idaho(2/19/2021)
RR
Illinois(2/28/2017)
RR
Indiana(2/28/2017)
IAR
Indiana(2/28/2017)
RR
Kentucky(4/20/2017)
RR
Louisiana(1/16/2025)
RR
Maryland(4/16/2024)
RR
Massachusetts(1/23/2020)
RR
Michigan(4/20/2017)
RR
Missouri(2/28/2017)
RR
Nevada(2/28/2017)
RR
New Hampshire(4/12/2017)
RR
New Jersey(2/28/2017)
RR
New York(4/20/2017)
RR
North Carolina(2/28/2017)
RR
Ohio(2/28/2017)
RR
Oregon(3/20/2017)
RR
Pennsylvania(2/28/2017)
RR
South Carolina(11/30/2017)
RR
Tennessee(2/28/2017)
RR
Texas(2/28/2017)
IAR
Texas(11/3/2020)
RR
Washington(9/9/2019)
RR
West Virginia(4/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Muncie, IN 47304TRUST BUT VERIFY
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Contact information
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