Dahlia C. Daley

DALEY CAPITAL,

Bowie, MD

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CRD#: 2077365

Professional summary

Dahlia Christine Daley, ChFC®, CLU® is a registered financial advisor currently at DALEY CAPITAL, INC located in Bowie, Maryland.

Dahlia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Dahlia has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 6 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.

I ALSO OWN An Independent Insurance Practice. I devote about 10 percent of my time to this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dahlia Christine Daley'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

March 23, 2022 - Present

DALEY CAPITAL, INC

RIA

CRD#: 146441

Bowie, MD

Past

April 15, 2008 - January 9, 2014

DALEY CAPITAL, INC

RIA

CRD#: 146441

BOWIE, MD

Past

January 2, 2004 - December 31, 2007

INVESTORS SECURITY COMPANY, INC.

RIA

CRD#: 2331

BOWIE, MD

Past

January 2, 2004 - December 31, 2007

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

BOWIE, MD

Past

June 25, 2001 - July 22, 2003

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

BETHESDA, MD

Past

October 3, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

October 3, 1990 - July 22, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(3/23/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/22/2001

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/26/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/1/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DALEY CAPITAL, INC

DALEY CAPITAL MANAGEMENT, INC | FINANCEARK CAPITAL MANAGEMENT, INC | DALEY CAPITAL, INC

CRD#: 146441 / SEC#:

Maryland

Registered Investment Advisory firm - (4/15/2008 Approved)

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Contact information

Main Address

Bowie, MD

Mailing Address

P.o. Box 941, Bowie, MD 20718

Phone number

(888) 332-4542

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 4,045,234

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.

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Dahlia C. Daley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dahlia Christine Daley's CRS (Customer Relationship Summary).

Certified licenses

Experience

DALEY CAPITAL, INC

INVESTORS SECURITY COMPANY, INC.

INVESTORS SECURITY COMPANY, INC.

PRUCO SECURITIES, LLC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2001

Series 65

Date: 5/8/1999

Series 63

Date: 1/30/1992

Series 7

Date: 7/26/2000

Series 6

Date: 10/1/1990

Current Firm

DALEY CAPITAL, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DALEY CAPITAL, INC

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