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TD

Timothy J. Daly

Some features on this profile are disabled
CRD#: 1460203
TD

Professional summary

Timothy James Daly was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Timothy is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Timothy had worked at 10 firms, which includes SOUND FINANCIAL ADVISORS, GREENWICH GLOBAL LLC, FIRST MONTAUK SECURITIES CORP., MORGAN STANLEY DW INC., UBS FINANCIAL SERVICES INC., CIBC WORLD MARKETS CORP., SCHRODER & CO. INC., L. F. ROTHSCHILD & CO. INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, MCLAUGHLIN PIVEN VOGEL SECURITIES INC..

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

December 17, 2003 - February 21, 2006

SOUND FINANCIAL ADVISORS

RIA
CRD#: 126276
NORWALK, CT
Past

January 8, 2003 - February 21, 2006

GREENWICH GLOBAL, LLC

BD
CRD#: 37304
WILTON, CT
Past

February 1, 2002 - January 16, 2003

FIRST MONTAUK SECURITIES CORP.

RIA
CRD#: 13755
WESTON, CT
Past

December 16, 1997 - January 16, 2003

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

October 17, 1995 - December 16, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 17, 1993 - October 6, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 19, 1990 - October 5, 1993

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

March 20, 1990 - November 26, 1990

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

January 29, 1988 - March 28, 1990

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

September 25, 1987 - February 5, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

September 3, 1986 - September 11, 1987

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

March 19, 1986 - July 22, 1986

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

BD
CRD#: 7404

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
IAR
Series 65
Date: 8/11/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/6/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/28/2005
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/13/1998
General Securities Principal Examination

Current firm

No current employment

Red Flags

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Company Information

No current employment

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