Thomas 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.
Thomas Michael Daly JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 8 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2006 - November 2, 2006
J.P. TURNER & COMPANY, L.L.C.
February 3, 2006 - April 18, 2006
SOURCE CAPITAL GROUP, INC.
September 17, 2002 - September 9, 2005
SOURCE CAPITAL GROUP, INC.
June 7, 2001 - September 4, 2002
NATIONAL SECURITIES CORPORATION
July 19, 2000 - November 28, 2000
MERIT CAPITAL ASSOCIATES, INC.
February 12, 1999 - May 16, 2000
FIRST SECURITY INVESTMENTS, INC.
October 27, 1998 - February 3, 1999
PRESTON LANGLEY ASSET MANAGEMENT, INC.
January 27, 1998 - October 20, 1998
MILLENNIUM SECURITIES CORP.
July 2, 1997 - August 1, 1997
LEGEND MERCHANT GROUP, INC.
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 62
Date: 7/1/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
