Brian A. Daley
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.
Brian Andrew Daley, who also goes by Brain Andrew Daley, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 11 firms and has passed the Series 63, Series 65, 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
April 20, 2020 - November 29, 2023
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
January 5, 2010 - April 20, 2020
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 5, 2010 - November 29, 2023
DELAWARE DISTRIBUTORS, L.P.
February 9, 2006 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 9, 2006 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 28, 2005 - January 20, 2006
CUSO FINANCIAL SERVICES, L.P.
March 28, 2005 - January 20, 2006
CUSO FINANCIAL SERVICES, L.P.
June 16, 2004 - March 24, 2005
CITIZENS SECURITIES, INC.
May 25, 2004 - March 24, 2005
CITIZENS SECURITIES, INC.
June 24, 2002 - December 10, 2003
PARK AVENUE SECURITIES LLC
November 5, 1996 - September 22, 1997
VANGUARD MARKETING CORPORATION
February 8, 1994 - October 14, 1996
DREYFUS INVESTMENT SERVICES COMPANY, LLC
June 6, 1990 - November 5, 1992
HORNOR, TOWNSEND & KENT, LLC
September 29, 1986 - April 20, 1989
JANNEY MONTGOMERY SCOTT LLC
Primary Firm SEC Registration
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
CRD#: 105390 / SEC#: 801-32108
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
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST
CRD#: 105390 / SEC#: 801-32108
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 317 |
| AUM (Assets Under Management) | $ 164,320,917,908 |
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.
