John P. Daly

DALY INVESTMENT MANAGEMENT

Mount Prospect, IL 60056

Some features on this profile are disabled

CRD#: 4133168

Professional summary

John Patrick Daly, CFP® is a registered financial advisor currently at DALY INVESTMENT MANAGEMENT, LLC located in Mount Prospect, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. John has worked at 6 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Daly Investment Management, LLC, Investment-related; 930 E. Northwest Hwy., Mount Prospect, IL 60056; Registered Investment Advisor to individuals and families providing financial planning and investment management services; Owner/President; 04/2009; 160-170 hrs.; 25-30 hrs.; duties include creating and reviewing financial plans, creating allocation models for clients; and reviewing and rebalancing client allocations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Daly's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

April 28, 2009 - Present

DALY INVESTMENT MANAGEMENT, LLC

Office #1: 930 E Northwest Highway, Mount Prospect, IL 60056

RIA

CRD#: 149980

Mount Prospect, IL

Past

February 14, 2017 - August 2, 2017

STEELE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 107097

Mount Prospect, IL

Past

February 6, 2009 - April 16, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHICAGO, IL

Past

February 6, 2009 - April 16, 2009

LPL FINANCIAL LLC

CRD#: 6413

CHICAGO, IL

Past

January 16, 2004 - February 17, 2009

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

CHICAGO, IL

Past

January 16, 2004 - February 17, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

CHICAGO, IL

Past

June 9, 2003 - January 15, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

CHICAGO, IL

Past

June 6, 2003 - January 15, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

March 20, 2000 - June 10, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(4/28/2009)

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: 3/29/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 4/7/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/17/2000

General Securities Representative Examination

Current Firm

DALY INVESTMENT MANAGEMENT, LLC

DALY INVESTMENT MANAGEMENT, LLC | NAME 906

CRD#: 149980 / SEC#:

Illinois

Registered Investment Advisory firm - (4/28/2009 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

930 E Northwest Highway, Mount Prospect, IL 60056

Mailing Address

Phone number

(224) 347-2623

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	340
AUM (Assets Under Management)	$ 100,035,854

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

James Flanagan

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Downers Grove, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John P. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Patrick Daly's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEELE CAPITAL MANAGEMENT, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2000

Series 31

Date: 4/7/2000

Series 7

Date: 3/17/2000

Current Firm

DALY INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DALY INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors