Diane M. Daly
Professional summary
Diane Mottola Daly was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Diane Mottola Daly, who also goes by Diane Marie Daly, Diane Marie Mottola, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1993. Diane had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 14, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2021 - August 2, 2023
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
April 13, 2012 - November 28, 2012
CANACCORD GENUITY SECURITIES LLC
May 6, 2010 - October 25, 2010
GENUITY CAPITAL MARKETS USA CORP.
September 12, 2000 - August 8, 2023
CANACCORD GENUITY LLC
May 2, 1995 - August 15, 1997
LPL FINANCIAL LLC
October 27, 1994 - February 17, 1995
LPL FINANCIAL LLC
September 10, 1993 - November 4, 1994
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
Primary Firm SEC Registration
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 101,217,366 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 5 |
Red Flags
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