Patrick Leo Daly
Professional Summary
Patrick Leo Daly is a registered financial advisor currently at SEXTANT SECURITIES, LLC located in New York, New York. Patrick is registered as a RR (Registered Representative) and started their career in finance in 1992. Patrick has worked at 7 firms and has passed the Series 63, Series 79TO, Series 72, SIE, Series 3, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
FING SECURITIES LLC | SEXTANT SECURITIES, LLC | SEXTANT CAPITAL SOLUTIONS
Contact Information
Main Address
600 Madison Avenue 17th Floor, New York, NY 10022Mailing Address
600 Madison Avenue 17th Floor, New York, NY 10022Phone Number
(917) 715-5500Established
New York since 02/29/2016Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(8/21/2024)
(7/31/2024)
(11/22/2024)
(9/13/2024)
(4/30/2024)
(2/27/2026)
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(9/16/2024)
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(12/9/2024)
(7/30/2024)
(7/31/2024)
(7/24/2024)
(8/22/2024)
(11/26/2024)
(10/1/2024)
(3/14/2023)
(2/27/2026)
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(7/29/2024)
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(2/27/2026)
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(11/20/2024)
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(8/9/2024)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 72 — Government Securities Representative Examination
Passed Jan 2023SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Patrick Leo Daly's CRS (Customer Relationship Summary).
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