Christopher L. 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.
Christopher Luke Daly, who also goes by Christopher L Daly, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 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
July 28, 2016 - March 9, 2023
GENERAL WELLINGTON CAPITAL LLC
April 25, 2016 - June 22, 2016
OLIVETREE FINANCIAL, LLC
February 24, 2014 - April 4, 2016
WEEDEN & CO.L.P.
September 4, 2012 - February 4, 2014
BTIG, LLC
May 10, 2011 - October 1, 2012
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
February 10, 2004 - May 3, 2011
WEEDEN & CO.L.P.
May 2, 1994 - March 2, 2004
CIBC WORLD MARKETS CORP.
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: 11/23/1998
Limited Representative-Equity Trader ExamCurrent Firm
GENERAL WELLINGTON CAPITAL LLC
CRD#: 282139 / SEC#: , 8-69705
Contact information
FINRA licenses (10 States and Territories)
Documents
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.
