MD
Michael S. Daly
WELLINGTON FUNDS DISTRIBUTORS
Boston, MA 02210
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CRD#: 2752083
MD
Professional summary
Michael Sean Daly, who also goes by Mike Daly, is a registered financial professional currently at WELLINGTON FUNDS DISTRIBUTORS INC. located in Boston, Massachusetts.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Daly
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Sean Daly'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®
NoneExperience
Current
August 27, 2025 - Present
WELLINGTON FUNDS DISTRIBUTORS INC.
Office #1: 280 Congress Street, Boston, MA 02210BD
CRD#: 152768
Boston, MA
Past
April 18, 2024 - June 16, 2025
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
Marshfield, MA
Past
April 8, 2024 - June 16, 2025
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
MONUMENT, CO
Past
March 9, 2023 - November 24, 2023
TCW INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 106546
Boston, MA
Past
March 31, 2014 - November 24, 2023
TCW FUNDS DISTRIBUTORS LLC
BD
CRD#: 16670
Boston, MA
Past
July 15, 1999 - February 10, 2000
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
October 8, 1996 - July 15, 1999
KEYPORT FINANCIAL SERVICES CORP.
BD
CRD#: 8127
WELLESLEY HILLS, MA
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
Alabama(8/27/2025)
RR
Alaska(8/27/2025)
RR
Arizona(8/27/2025)
RR
Arkansas(8/27/2025)
RR
California(8/27/2025)
RR
Colorado(8/27/2025)
RR
Connecticut(8/27/2025)
RR
Delaware(8/27/2025)
RR
District of Columbia(8/27/2025)
RR
Florida(8/27/2025)
RR
Georgia(8/27/2025)
RR
Hawaii(8/27/2025)
RR
Idaho(8/27/2025)
RR
Illinois(8/27/2025)
RR
Indiana(8/27/2025)
RR
Iowa(8/27/2025)
RR
Kansas(8/27/2025)
RR
Kentucky(8/27/2025)
RR
Louisiana(8/27/2025)
RR
Maine(8/27/2025)
RR
Maryland(8/27/2025)
RR
Massachusetts(8/27/2025)
RR
Michigan(8/27/2025)
RR
Minnesota(8/27/2025)
RR
Mississippi(8/27/2025)
RR
Missouri(8/27/2025)
RR
Montana(8/27/2025)
RR
Nebraska(8/27/2025)
RR
Nevada(8/27/2025)
RR
New Hampshire(8/27/2025)
RR
New Jersey(8/27/2025)
RR
New Mexico(8/27/2025)
RR
New York(8/27/2025)
RR
North Carolina(8/27/2025)
RR
North Dakota(8/27/2025)
RR
Ohio(8/27/2025)
RR
Oklahoma(8/27/2025)
RR
Oregon(8/27/2025)
RR
Pennsylvania(8/27/2025)
RR
Rhode Island(8/27/2025)
RR
South Carolina(8/27/2025)
RR
South Dakota(8/27/2025)
RR
Tennessee(8/27/2025)
RR
Texas(8/27/2025)
RR
Utah(8/27/2025)
RR
Vermont(8/27/2025)
RR
Virginia(8/27/2025)
RR
Washington(8/27/2025)
RR
West Virginia(8/27/2025)
RR
Wisconsin(8/27/2025)
RR
Wyoming(8/27/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WELLINGTON FUNDS DISTRIBUTORS INC.
WELLINGTON FUNDS DISTRIBUTORS INC. | WELLINGTON MANAGEMENT ADVISERS, INC
CRD#: 152768 / SEC#: , 8-68476
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
280 Congress Street, Boston, MA 02210
Mailing Address
280 Congress Street, Boston, MA 02210
Phone number
(617) 951-5000
Established
Delaware since 10/29/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| HAVLICEK, DESMOND ANTHONY | DIRECTOR | 2843267 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
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
WELLINGTON FUNDS DISTRIBUTORS INC.
CRD#: 152768Boston, MA 02210TRUST BUT VERIFY
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