Christopher Daley
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 Daley was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 6 firms and has passed the Series 63, SIE, Series 25, 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
March 13, 2014 - October 7, 2014
ACCESS SECURITIES, LLC
July 1, 2013 - March 10, 2014
SIDOTI & COMPANY, LLC
January 3, 2005 - July 1, 2013
ACCESS SECURITIES, LLC
September 25, 2002 - January 3, 2005
MCCAULEY SECURITIES, LTD.
March 19, 2001 - September 17, 2002
PRINCETON SECURITIES GROUP, LLC
October 14, 1998 - March 16, 2001
MERIT CAPITAL ASSOCIATES, INC.
February 25, 1997 - April 22, 1998
HENDERSON BROTHERS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 25
Date: 7/11/2001
NYSE Trading Assistant ExaminationSeries 55
Date: 9/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
ACCESS SECURITIES, LLC
CRD#: 22455 / SEC#: , 8-39729
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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