John G. 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.
John Gorman Daly, who also goes by John Daly, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2017 - October 22, 2018
GREAT POINT CAPITAL LLC
October 30, 2014 - December 5, 2014
IRONHORSE CAPITAL LLC
April 14, 2014 - December 5, 2014
NORTHERN LIGHTS DISTRIBUTORS, LLC
June 16, 2011 - January 8, 2013
TERRA CAPITAL MARKETS LLC
November 7, 2008 - July 12, 2010
FS INVESTMENT SOLUTIONS, LLC
January 1, 2005 - November 3, 2008
PERSHING LLC
November 2, 2004 - November 3, 2008
BNY ADVISORS
October 22, 2004 - March 31, 2006
PERSHING LLC
October 5, 1998 - December 3, 2002
ALLIANCEBERNSTEIN INVESTMENTS, INC.
August 22, 1997 - July 24, 1998
CHARLES SCHWAB & CO., INC.
July 10, 1997 - July 31, 1997
CITICORP INVESTMENT SERVICES
July 17, 1995 - January 5, 1996
NEUBERGER BERMAN MANAGEMENT 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
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
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