Erik P. Daly

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CRD#: 2977697

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.

Erik Porter Daly was a registered financial professional .

Erik is a previously registered financial professional and started their career in finance in 1997. Erik had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 3, 2019 - April 3, 2020

MAVEN CAPITAL PARTNERS, LLC

RIA

CRD#: 300626

ATLANTA, GA

Past

November 18, 2019 - April 3, 2020

MCA SECURITIES LLC

CRD#: 298069

Atlanta, GA

Past

January 31, 2013 - October 30, 2019

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

BALTIMORE, MD

Past

November 6, 2012 - November 1, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

BALTIMORE, MD

Past

May 12, 2006 - December 31, 2008

PNC CAPITAL MARKETS LLC

CRD#: 15647

PITTSBURGH, PA

Past

June 13, 2003 - April 24, 2006

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

OLNEY, MD

Past

March 18, 2002 - June 4, 2003

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

WASHINGTON, DC

Past

December 18, 1997 - June 4, 2003

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MAVEN CAPITAL PARTNERS, LLC

CRD#: 300626 / SEC#: 801-130661

RIA

Registered Investment Advisory firm - (7/24/2024 Approved)

Georgia

Registered Investment Advisory firm - (8/23/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/25/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/1997

General Securities Representative Examination

Current Firm

MAVEN CAPITAL PARTNERS, LLC

CRD#: 300626 / SEC#: 801-130661

RIA

Registered Investment Advisory firm - (7/24/2024 Approved)

Georgia

Registered Investment Advisory firm - (8/23/2024 Terminated)

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Contact information

Main Address

3060 Peachtree Road Suite 1005, Atlanta, GA 30305

Mailing Address

Phone number

(404) 798-7612

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAVEN CAPITAL FORM ADV PART 2A (7/22/2025)

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 134,568,784

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.

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Advisor Monitoring

Firm Stability Insights

Erik P. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MCA SECURITIES LLC

PNC CAPITAL ADVISORS LLC

FORESIDE DISTRIBUTION SOLUTIONS, LLC

PNC CAPITAL MARKETS LLC

UVEST FINANCIAL SERVICES GROUP, INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

MAVEN CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/16/1997

Current Firm

MAVEN CAPITAL PARTNERS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAVEN CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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