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PD

Patrick L. Daly

SEXTANT SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 2186449
PD

Professional summary

Patrick Leo Daly is a registered financial professional 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.

top-8-questions

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) - BD

Click below to view Patrick Leo Daly'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®
None

Experience

Current

March 14, 2023 - Present

SEXTANT SECURITIES, LLC

Office #1: 600 Madison Avenue 17th Floor, New York, NY, 10022
BD
CRD#: 283937
New York, NY
Past

April 16, 2019 - March 10, 2023

PJT PARTNERS LP

BD
CRD#: 171058
NEW YORK, NY
Past

June 20, 2006 - August 31, 2020

PARK HILL GROUP LLC

BD
CRD#: 135898
NEW YORK, NY
Past

February 24, 2004 - May 24, 2006

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 11, 2002 - February 18, 2004

NORFOLK MARKETS, LLC

BD
CRD#: 103797
NEW YORK, NY
Past

May 17, 1998 - August 31, 1999

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

February 27, 1992 - April 8, 1998

MORGAN STANLEY MARKET PRODUCTS INC.

BD
CRD#: 19794
NEW YORK, NY
Past

February 27, 1992 - April 8, 1998

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/21/2024)
RR
Alaska
(7/31/2024)
RR
Arizona
(11/22/2024)
RR
Arkansas
(9/13/2024)
RR
California
(4/30/2024)
RR
District of Columbia
(10/1/2024)
RR
Florida
(11/20/2024)
RR
Hawaii
(8/2/2024)
RR
Idaho
(7/25/2024)
RR
Illinois
(10/22/2025)
RR
Indiana
(7/16/2024)
RR
Iowa
(7/24/2024)
RR
Kansas
(8/1/2024)
RR
Maine
(4/30/2024)
RR
Massachusetts
(11/4/2024)
RR
Minnesota
(9/16/2024)
RR
Mississippi
(7/26/2024)
RR
Missouri
(12/9/2024)
RR
Montana
(7/30/2024)
RR
Nebraska
(7/31/2024)
RR
Nevada
(7/24/2024)
RR
New Hampshire
(8/22/2024)
RR
New Jersey
(11/26/2024)
RR
New Mexico
(10/1/2024)
RR
New York
(3/14/2023)
RR
North Dakota
(9/27/2024)
RR
Oklahoma
(7/29/2024)
RR
Oregon
(8/9/2024)
RR
Puerto Rico
(10/28/2024)
RR
South Carolina
(7/30/2024)
RR
South Dakota
(8/5/2024)
RR
Tennessee
(8/6/2024)
RR
Texas
(9/11/2024)
RR
Vermont
(8/26/2024)
RR
Virgin Islands
(9/26/2024)
RR
Virginia
(11/20/2024)
RR
Washington
(5/8/2024)
RR
West Virginia
(8/7/2024)
RR
Wisconsin
(8/9/2024)
RR
Wyoming
(8/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/5/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/17/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/8/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SEXTANT SECURITIES, LLC
FING SECURITIES LLC | SEXTANT SECURITIES, LLC | SEXTANT CAPITAL SOLUTIONS

CRD#: 283937 / SEC#: , 8-69772

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
600 Madison Avenue 17th Floor, New York, NY 10022
Mailing Address
600 Madison Avenue 17th Floor, New York, NY 10022
Phone number
(917) 715-5500
Established
New York since 02/29/2016
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MERCHANT ASSET MANAGEMENT, LLCMEMBER
DALY, PATRICK LEOCEO2186449
FOX, GERHARD ROBERTCCO2796860
ROCHE, PASCALFINOP/PFO/POO5920968

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.

Company Information

SEXTANT SECURITIES, LLC

CRD#: 283937New York, NY 10022

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