Robert A. Daly
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CRD#: 3111426
Professional summary
Robert Anthony Daly was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Robert had worked at 5 firms, which includes XTELLUS ADVISORS LLC, XTELLUS CAPITAL PARTNERS INC., MORGAN STANLEY, J.P. MORGAN SECURITIES LLC, UBS FINANCIAL SERVICES INC..
Question & Answer
What are your service offerings?
Loans/credit services
Financial planning
Philanthropic services
Executive services/Equity comp...
Trust & estate planning
Trading individual securities
Insurance
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
No
Aliases
Bob Daly Jr | Bobby Daly Jr | Robert Anthony Daly Jr
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.
A. Latigo Ventures, investment-related, 2049 Century Park East, 14th Floor, Los Angeles, CA 90067, Financial Consulting and Capital Raising, Managing Member/Owner (position: non-investment-related), 02/01/2023, 10 hrs./month, 2 hrs./month during securities trading hours, run the entire business. B. The Latigo Group, non-investment-related, 11845 W. Olympic Blvd., Ste. 515, Los Angeles, CA 90064, Multi Family Real Estate Development, Managing Member, 07/01/2017, 20 hrs/month, 10 hrs./month during securities trading hours, raise capital, fund working capital, support debt. C. Lipper/Daly Productions Latigo Films; non-investment-related, 2049 Century Park East, 14th Floor, Los Angeles, CA 90067, Film Production, Chairman, 10/01/2021, 10 hrs./month, 2 hrs./month during securities trading hours, raise equity, support loans. D. Ava Living Recovery, non-investment-related, 2049 Century Park East, 14th Floor, Los Angeles, CA 90067, non-profit, sober living, Co-founder/Board president, 06/01/2015, 2 hrs./month, 0 hrs./month during securities trading hours, raise money, manage the board. E. United Friends of the Children, non-investment related, 1055 Wilshire Blvd., #1550, Los Angeles, CA 90017, provides support for current and former foster youth in LA County, Director, 06/01/2012, 1 hr./month, 0 hrs./month during securities trading hours, raise money, advise the board & executive director. F. Xtellus Capital Partners, Inc., investment-related, 535 Madison Avenue, 5th Floor, New York NY 10022, Broker Dealer, Registered Representative, 05/01/2023, 4 hrs/month, 4 hrs/month during securities trading hours, potential client introduction for BD.
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®
NoneExperience
Past
October 6, 2023 - March 29, 2024
XTELLUS ADVISORS LLC
RIA
CRD#: 313437
New York, NY
Past
May 8, 2023 - October 4, 2024
XTELLUS CAPITAL PARTNERS, INC.
BD
CRD#: 156048
NEW YORK, NY
Past
February 18, 2016 - March 27, 2023
MORGAN STANLEY
RIA
CRD#: 149777
Los Angeles, CA
Past
February 17, 2016 - March 27, 2023
MORGAN STANLEY
BD
CRD#: 149777
Los Angeles, CA
Past
March 10, 2009 - February 29, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
LOS ANGELES, CA
Past
March 9, 2009 - February 29, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LOS ANGELES, CA
Past
February 7, 2003 - March 26, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BEVERLY HILLS, CA
Past
February 7, 2003 - March 26, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BEVERLY HILLS, CA
Past
October 25, 2001 - February 21, 2003
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
LOS ANGELES, CA
Past
September 21, 1998 - February 21, 2003
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
XA
XTELLUS ADVISORS LLC
XTELLUS ADVISORS LLC
CRD#: 313437 / SEC#: 802-130945
RIA
Registered Investment Advisory firm - (3/29/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2601 S. Bayshore Drive Suite 1630, Miami, FL 33133
Mailing Address
Phone number
(203) 900-2221
Established
Firm type
Fiscal year end
# of Employees
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 7/19/2024 |
| Florida | ERA - Active | 3/31/2025 |
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.
