Mark V. Daly
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.
Mark Vincent Daly was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2013 - December 1, 2016
CORECAP INVESTMENTS, LLC
March 25, 2008 - December 31, 2011
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
January 1, 2002 - June 5, 2007
BROOKLIGHT PLACE SECURITIES, INC.
March 21, 1995 - January 1, 2002
IAC SECURITIES, INC.
December 8, 1993 - December 31, 1994
SECURITIES MANAGEMENT & RESEARCH, INC.
July 18, 1990 - December 31, 1991
OSAIC FS, INC.
September 17, 1986 - August 1, 1988
VOYA FINANCIAL ADVISORS, INC.
December 18, 1985 - September 18, 1986
OSAIC FS, INC.
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
Current Firm
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
