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WD

William P. Daly

FORESIDE FUND SERVICES
New York, NY 10022
Some features on this profile are disabled
CRD#: 3062015
WD

Professional summary

William Peter Daly, who also goes by Bill Daly, William P Daly, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1998. William has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Daly | William P 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Peter Daly's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 15, 2023 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 477 Madison Avenue Suite 720, New York, NY 10022
BD
CRD#: 46106
New York, NY
Past

June 14, 2021 - April 1, 2022

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

April 9, 2018 - August 18, 2020

ROBERT A. STANGER & COMPANY, INC.

BD
CRD#: 11807
SHREWSBURY, NJ
Past

October 24, 2013 - February 20, 2018

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

June 21, 2007 - October 3, 2013

ROBERT A. STANGER & COMPANY, INC.

BD
CRD#: 11807
SHREWSBURY, NJ
Past

April 14, 2005 - August 11, 2006

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

April 23, 2001 - April 18, 2005

CSCA CAPITAL ADVISORS, LLC

BD
CRD#: 47100
NEW YORK, NY
Past

October 22, 1998 - January 16, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
(1/2/2024)
RR
Alaska
(1/2/2024)
RR
Arizona
(1/2/2024)
RR
Arkansas
(1/2/2024)
RR
California
(1/2/2024)
RR
Colorado
(1/2/2024)
RR
Connecticut
(1/2/2024)
RR
Delaware
(1/2/2024)
RR
District of Columbia
(1/2/2024)
RR
Florida
(1/2/2024)
RR
Georgia
(1/2/2024)
RR
Hawaii
(1/2/2024)
RR
Idaho
(1/2/2024)
RR
Illinois
(1/2/2024)
RR
Indiana
(1/2/2024)
RR
Iowa
(1/2/2024)
RR
Kansas
(1/2/2024)
RR
Kentucky
(1/2/2024)
RR
Louisiana
(1/2/2024)
RR
Maine
(1/2/2024)
RR
Maryland
(1/2/2024)
RR
Massachusetts
(1/2/2024)
RR
Michigan
(1/2/2024)
RR
Minnesota
(1/2/2024)
RR
Mississippi
(1/2/2024)
RR
Missouri
(1/2/2024)
RR
Montana
(1/4/2024)
RR
Nebraska
(1/2/2024)
RR
Nevada
(1/2/2024)
RR
New Hampshire
(1/2/2024)
RR
New Jersey
(11/15/2023)
RR
New Mexico
(1/2/2024)
RR
New York
(11/15/2023)
RR
North Carolina
(1/2/2024)
RR
North Dakota
(1/2/2024)
RR
Ohio
(1/2/2024)
RR
Oklahoma
(1/2/2024)
RR
Oregon
(1/2/2024)
RR
Pennsylvania
(1/2/2024)
RR
Rhode Island
(1/2/2024)
RR
South Carolina
(1/2/2024)
RR
South Dakota
(1/2/2024)
RR
Tennessee
(1/2/2024)
RR
Texas
(1/2/2024)
RR
Utah
(1/2/2024)
RR
Vermont
(1/2/2024)
RR
Virginia
(1/2/2024)
RR
Washington
(1/2/2024)
RR
West Virginia
(1/2/2024)
RR
Wisconsin
(1/2/2024)
RR
Wyoming
(1/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/29/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/28/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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

FORESIDE FUND SERVICES, LLC

CRD#: 46106New York, NY 10022

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