Jonathan P. Daly
Professional summary
Jonathan Patrick Daly, who also goes by Jon Daly, Jonathan Patrick Daly, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Enfield, Connecticut and CETERA WEALTH SERVICES, LLC located in Enfield, Connecticut.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jonathan has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Patrick Daly's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 8, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1699 King Street Suite 401, Enfield, CT 06082February 7, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1699 King St Suite 402, Enfield, CT 06082February 7, 2024 - February 7, 2024
CETERA INVESTMENT SERVICES LLC
February 7, 2024 - February 7, 2024
CETERA FINANCIAL SPECIALISTS LLC
February 7, 2024 - February 7, 2024
CETERA ADVISORS LLC
January 15, 2020 - January 26, 2024
VOYA FINANCIAL ADVISORS, INC.
January 9, 2020 - January 26, 2024
VOYA FINANCIAL ADVISORS, INC.
January 5, 2015 - January 6, 2020
CITIZENS SECURITIES, INC.
January 5, 2015 - January 6, 2020
CITIZENS SECURITIES, INC.
May 3, 2005 - November 27, 2013
HARVEST CAPITAL ADVISORS, LLC
November 6, 2001 - November 27, 2013
HARVEST CAPITAL LLC
August 25, 2000 - July 16, 2001
WEBSTER INVESTMENT SERVICES, INC.
January 19, 1999 - August 23, 2000
ADVEST, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/8/2024)
(2/8/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/8/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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