AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
Robert Anthony Daly

Robert Anthony Daly

Private Wealth Advisor
CRD# 3111426·Registered 1998 - 2024
Barred: Robert Anthony Daly was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Robert Anthony Daly, who also goes by Bob Daly Jr, Bobby Daly Jr, Robert Anthony Daly Jr, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1998 - 2024. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

$1M–$5M

Account Minimum

50–100

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Services Offered

  • Financial Planning
  • Estate & Legacy Planning
  • Investment Management
  • Risk Management & Insurance
  • Retirement Planning

Specializations

Equity Compensation

Other Aliases

Bob Daly Jr, Bobby Daly Jr, Robert Anthony Daly Jr

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

28 years in the financial services industry

Current & Past Employments

XTELLUS ADVISORS LLC·CRD# 313437
RIA
New York, NY
October 6, 2023 - March 29, 2024
XTELLUS CAPITAL PARTNERS, INC.·CRD# 156048
BD
New York, NY
May 8, 2023 - October 4, 2024
MORGAN STANLEY·CRD# 149777
RIA
Los Angeles, CA
February 18, 2016 - March 27, 2023
MORGAN STANLEY·CRD# 149777
BD
Los Angeles, CA
February 17, 2016 - March 27, 2023
J.P. MORGAN SECURITIES LLC·CRD# 79
RIA
Los Angeles, CA
March 10, 2009 - February 29, 2016
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
Los Angeles, CA
March 9, 2009 - February 29, 2016
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Beverly Hills, CA
February 7, 2003 - March 26, 2009
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Beverly Hills, CA
February 7, 2003 - March 26, 2009
J.P. MORGAN SECURITIES LLC·CRD# 79
RIA
Los Angeles, CA
October 25, 2001 - February 21, 2003
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
September 21, 1998 - February 21, 2003

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

XA
XTELLUS ADVISORS LLC

XTELLUS ADVISORS LLC

CRD#: 313437 / SEC#: 802-130945
RIA
Registered Investment Advisory firm - SEC (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).

Contact Information

Main Address

2601 S. Bayshore Drive Suite 1630, Miami, FL 33133

Phone Number

(203) 900-2221

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 / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Active7/19/2024
FloridaERA - Active3/31/2025

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2000About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 1998About the Series 7 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Services Offered by Robert

  • Financial Planning
  • Estate & Legacy Planning
  • Investment Management
  • Risk Management & Insurance
  • Retirement Planning

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
Robert Anthony Daly
Follow Robert
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required