Brendan M. Daly

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CRD#: 3197120

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.

Brendan Michael Daly, who also goes by Brendan M Daly, Brendan Daly, Brendon M Daly, was a registered financial professional .

Brendan is a previously registered financial professional and started their career in finance in 1999. Brendan had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brendan M Daly | Brendan Daly | Brendon M Daly

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®

None

Experience

Past

April 3, 2015 - July 2, 2015

CITIZENS SECURITIES, INC.

CRD#: 39550

BRAINTREE, MA

Past

July 3, 2014 - October 13, 2014

ONEAMERICA SECURITIES, INC.

CRD#: 4173

NEWTON, MA

Past

July 29, 2013 - April 21, 2014

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

SOUTH BOSTON, MA

Past

October 25, 2010 - October 24, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

NORWOOD, MA

Past

June 1, 2009 - November 3, 2010

LINCOLN INVESTMENT

CRD#: 519

WALTHAM, MA

Past

December 17, 2007 - September 3, 2008

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

NATICK, MA

Past

January 8, 2007 - September 3, 2008

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

FRAMINGHAM, MA

Past

January 31, 2005 - November 10, 2006

CITIZENS SECURITIES, INC.

CRD#: 39550

EVERETT, MA

Past

October 20, 2004 - January 6, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

February 6, 2004 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

February 28, 2001 - October 10, 2003

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

October 8, 1999 - October 10, 2000

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CITIZENS SECURITIES, INC.

CRD#: 39550 / SEC#: 801-61902, 8-48744

RIA

Registered Investment Advisory firm - SEC (3/27/2003 Approved)

Connecticut

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

Florida

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

Maine

Registered Investment Advisory firm - SEC (4/14/2003 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

New York

Registered Investment Advisory firm - SEC (3/31/2002 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (5/8/2003 Terminated)

Vermont

Registered Investment Advisory firm - SEC (4/28/2003 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/16/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/22/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/28/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/7/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CITIZENS SECURITIES, INC.

CRD#: 39550 / SEC#: 801-61902, 8-48744

RIA

Registered Investment Advisory firm - SEC (3/27/2003 Approved)

Connecticut

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

Florida

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

Maine

Registered Investment Advisory firm - SEC (4/14/2003 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/10/2003 Terminated)

New York

Registered Investment Advisory firm - SEC (3/31/2002 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (5/8/2003 Terminated)

Vermont

Registered Investment Advisory firm - SEC (4/28/2003 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Citizens Bank Way Jcb135, Johnston, RI 02043

Mailing Address

200 Station Drive Mws414, Westwood, MA 02090

Phone number

(781) 364-1641

Established

Rhode Island since 09/21/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

418

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CSI ADVISORY SOLUTIONS MANAGED ACCOUNT PROGRAM BROCHURE 6242025 (6/23/2025)

CSI FORM ADV DIGITAL ADVISORY PROGRAM BROCHURE 2142025 (2/13/2025)

Direct owners and executive officers

Name	Position	CRD#
CITIZENS BANK, N.A.	DIRECT OWNERSHIP
ARNOLD, CHAD	COO WEALTH, EXECUTIVE VICE PRESIDENT	3076401
CARVALHO, KEVIN JOHN	CHIEF FINANCIAL OFFICER	6115556
CHERNY, MICHAEL	PRESIDENT	4864410
SHORE, DAVID HOWARD	CHIEF COMPLIANCE OFFICER	2106767

Regulatory assets under management

Total Number of Accounts	53,044
AUM (Assets Under Management)	$ 9,188,004,183

Disclosures

Regulatory Event	16
Arbitration	6

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.

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Firm Stability Insights

Brendan M. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ONEAMERICA SECURITIES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

LINCOLN INVESTMENT

CETERA INVESTMENT SERVICES LLC

BANCNORTH INVESTMENT GROUP, INC.

CITIZENS SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

EATON VANCE DISTRIBUTORS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2007

Series 63

Date: 5/22/2000

SIE

Date: 7/2/2015

Series 7

Date: 6/28/2005

Series 6

Date: 10/7/1999

Current Firm

CITIZENS SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CITIZENS SECURITIES, INC.

TRUST BUT VERIFY

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