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?

Are you a "fiduciary"?

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.

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®

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

IAR

Series 65

Date: 11/2/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1998

General Securities Representative Examination

Current Firm

XTELLUS ADVISORS LLC

CRD#: 313437 / SEC#: 802-130945

RIA

Registered Investment Advisory firm - (3/29/2024 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).

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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

Documents

Latest Form ADV

Part 2 Brochures

XTELLUS ADVISORS ADV PART 2A (3/30/2023)

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Robert A. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

XTELLUS ADVISORS LLC

XTELLUS CAPITAL PARTNERS, INC.

MORGAN STANLEY

MORGAN STANLEY

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2000

Series 63

Date: 10/29/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1998

Current Firm

XTELLUS ADVISORS LLC

Contact information

Documents

Part 2 Brochures

Exempt reporting advisers

Red Flags

Company Information

XTELLUS ADVISORS LLC

TRUST BUT VERIFY

Contact information

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