Bernard G. 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.
Bernard Gerard Daly, who also goes by Bernie Daly, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1998. Bernard had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2015 - October 5, 2017
FIS BROKERAGE & SECURITIES SERVICES LLC
April 2, 2004 - October 20, 2014
COWEN EXECUTION SERVICES LLC
September 25, 2002 - March 25, 2004
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
July 11, 2002 - August 30, 2002
BROADWAY TRADING, LLC
September 3, 1998 - May 4, 2001
ICAPITAL MARKETS LLC
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 55
Date: 7/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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