Michael S. Daly
Professional summary
Michael Stephen Daly, who also goes by Mike Daly, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Stephen Daly's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 29, 2023 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 233 South Wacker Drive Suite 1800, Chicago, IL 60606August 23, 2022 - September 1, 2023
KESTRA INVESTMENT SERVICES, LLC
January 6, 2020 - April 8, 2022
MGI FUNDS DISTRIBUTORS, LLC
March 4, 2014 - December 31, 2019
MMC SECURITIES LLC
November 7, 2013 - December 31, 2019
MMC SECURITIES LLC
November 20, 2012 - September 30, 2013
ADP BROKER-DEALER, INC.
January 25, 2007 - June 4, 2012
AMERITAS INVESTMENT COMPANY, LLC
March 14, 2002 - June 7, 2005
SECURIAN FINANCIAL SERVICES, INC.
November 28, 2001 - February 1, 2002
EDWARD JONES
January 6, 1999 - August 10, 2001
DWS DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/29/2023)
Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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