Michael J. Daly

MONDRIAN INVESTMENT PARTNERS (U.S.)

Radnor, PA 19087

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CRD#: 4198951

Professional summary

Michael Joseph Daly, who also goes by Michael Daly, is a registered financial advisor currently at MONDRIAN INVESTMENT PARTNERS (U.S.), INC. located in Radnor, Pennsylvania and FORESIDE FUND SERVICES, LLC located in Radnor, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael 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.

1) Mondrian Investment Partners; Investment Related; Radnor, PA; Sales; Institutional Business Development Officer; Start 10/2019; 160 hrs per month, 0 during trading hours 2)IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF Mondrian Investment Partners Limited, THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF FORESIDE FUND SERVICES, LLC, AN UNAFFILIATED BROKER DEALER. THE ASSOCIATE IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF FORESIDE FUND SERVICES, LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph 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®

None

Experience

Current

May 17, 2021 - Present

MONDRIAN INVESTMENT PARTNERS (U.S.), INC.

Office #1: 201 King Of Prussia Road Suite 620, Radnor, PA 19087

RIA

CRD#: 132427

Radnor, PA

Current

January 7, 2020 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 201 King Of Prussia Road Suite 620, Radnor, PA 19087

CRD#: 46106

Radnor, PA

Past

September 8, 2017 - September 11, 2019

HAMILTON LANE SECURITIES LLC

CRD#: 281510

CONSHOHOCKEN, PA

Past

July 28, 2015 - August 18, 2017

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

PHILADELPHIA, PA

Past

November 19, 2013 - June 1, 2015

ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230

PHILADELPHIA, PA

Past

July 3, 2000 - October 2, 2001

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/7/2020)

Alaska
(1/7/2020)

Arizona
(1/7/2020)

Arkansas
(1/7/2020)

California
(1/7/2020)

Colorado
(1/7/2020)

Connecticut
(1/7/2020)

Delaware
(1/7/2020)

District of Columbia
(1/7/2020)

Florida
(1/7/2020)

Georgia
(1/7/2020)

Hawaii
(1/7/2020)

Idaho
(1/7/2020)

Illinois
(1/7/2020)

Indiana
(1/7/2020)

Iowa
(1/7/2020)

Kansas
(1/7/2020)

Kentucky
(1/7/2020)

Louisiana
(1/7/2020)

Maine
(1/7/2020)

Maryland
(1/7/2020)

Massachusetts
(1/7/2020)

Michigan
(1/7/2020)

Minnesota
(1/7/2020)

Mississippi
(1/7/2020)

Missouri
(1/7/2020)

Montana
(1/7/2020)

Nebraska
(1/7/2020)

Nevada
(1/7/2020)

New Hampshire
(1/7/2020)

New Jersey
(1/7/2020)

New Mexico
(1/7/2020)

New York
(1/7/2020)

North Carolina
(1/7/2020)

North Dakota
(1/7/2020)

Ohio
(1/7/2020)

Oklahoma
(1/7/2020)

Oregon
(1/7/2020)

Pennsylvania
(1/7/2020)

IAR

Pennsylvania
(5/17/2021)

Rhode Island
(1/7/2020)

South Carolina
(1/7/2020)

South Dakota
(1/7/2020)

Tennessee
(1/7/2020)

Texas
(1/7/2020)

Utah
(1/7/2020)

Vermont
(1/7/2020)

Virginia
(1/7/2020)

Washington
(1/7/2020)

West Virginia
(1/7/2020)

Wisconsin
(1/7/2020)

Wyoming
(1/7/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/6/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/26/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/12/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/19/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/30/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MONDRIAN INVESTMENT PARTNERS (U.S.), INC.

ATLANTIC VALUE PARTNERS(US),INC | ROTHKO INVESTMENT STRATEGIES | MONDRIAN INVESTMENT PARTNERS (U.S.), INC.

CRD#: 132427 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (9/15/2004 Approved)

Texas

Registered Investment Advisory firm - (4/25/2007 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

201 King Of Prussia Road Suite 620, Radnor, PA 19087

Mailing Address

Phone number

(215) 825-4500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Advisor Monitoring

Firm Stability Insights

Michael J. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Daly's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

HAMILTON LANE SECURITIES LLC

FRANKLIN DISTRIBUTORS, LLC

ABERDEEN FUND DISTRIBUTORS, LLC

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 5/6/2021

Series 63

Date: 11/26/2013

SIE

Date: 10/1/2018

Series 3

Date: 8/12/2015

Series 7

Date: 11/19/2013

Series 6

Date: 6/30/2000

FINRA

Current Firm

MONDRIAN INVESTMENT PARTNERS (U.S.), INC.

Contact information

Documents

Red Flags

Company Information

MONDRIAN INVESTMENT PARTNERS (U.S.), INC.

TRUST BUT VERIFY

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