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RD

Richard A. Daley

ARMSTRONG SECURITIES LLC
Old Greenwich, CT 06870
Some features on this profile are disabled
CRD#: 2242011
RD

Professional summary

Richard Anthony Daley is a registered financial professional currently at ARMSTRONG SECURITIES LLC located in Old Greenwich, Connecticut.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2010. Richard has worked at 2 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, 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 Richard Anthony 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®
None

Experience

Current

March 23, 2023 - Present

ARMSTRONG SECURITIES LLC

Office #1: 53 Forest Ave, Old Greenwich, CT 06870
BD
CRD#: 307429
Old Greenwich, CT
Past

January 5, 2010 - February 2, 2018

TOD'S POINT CAPITAL LLC

BD
CRD#: 149691
OLD GREENWICH, CT

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
Connecticut
(10/30/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/18/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 8/5/2024
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 6/8/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 3/23/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/12/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/28/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ARMSTRONG SECURITIES LLC
ARMSTRONG SECURITIES LLC

CRD#: 307429 / SEC#: , 8-70480

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

Main Address
711 3rd Avenue Floor 5, New York, NY 10017
Mailing Address
53 Forest Avenue 3rd Floor, Old Greenwich, CT 06870
Phone number
(212) 938-1200
Established
Connecticut since 01/09/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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Documents

Direct owners and executive officers

NamePositionCRD#
ARMSTRONG SECURITIES HOLDINGS LLCDIRECT OWNER
DALEY, RICHARD ANTHONYCOO/CCO2242011
MORENO, DANIEL ERICPOO4817706
POLISCHUK, JENNIFER LARAFINOP AND PFO3118457
TECOTZKY, MARK IRACEO1656046

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

ARMSTRONG SECURITIES LLC

CRD#: 307429Old Greenwich, CT 06870

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