James E. Daly
Professional summary
James Edward Daly, who also goes by James E Daly, is a registered financial advisor currently at BLUERING ADVISORS, INC located in Lagrangeville, New York.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Daly's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2021 - Present
BLUERING ADVISORS, INC
June 30, 2014 - February 19, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 29, 2011 - February 19, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 1, 2009 - August 8, 2011
MORGAN STANLEY
May 6, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 13, 2001 - May 13, 2003
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
June 26, 1987 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/1/2021)
Exams
Series 7TO
Date: 12/5/2022
General Securities Representative ExaminationCurrent Firm
BLUERING ADVISORS, INC
CRD#: 316034 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 14,915,886 |
Red Flags
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