Bryan M. Daly
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bryan Michael Daly was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1996. Bryan had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2018 - January 2, 2019
NYPPEX, LLC
June 5, 2018 - November 1, 2018
BENJAMIN & JEROLD BROKERAGE I, LLC
January 17, 2017 - May 30, 2018
VCS VENTURE SECURITIES
August 10, 2015 - December 31, 2016
SPENCER EDWARDS, INC.
April 29, 2004 - August 7, 2015
THE VERTICAL GROUP
August 29, 1997 - April 28, 2004
WM. V. FRANKEL & CO., INCORPORATED
February 13, 1997 - August 11, 1997
B. RILEY SECURITIES, INC.
October 30, 1996 - January 13, 1997
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
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 55
Date: 2/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
NYPPEX, LLC
CRD#: 47654 / SEC#: , 8-51849
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
| Civil Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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