Joseph W. Daly

UBS ASSET MANAGEMENT (US)

New York, NY 10019

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CRD#: 4205791

Professional summary

Joseph William Daly is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 25 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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

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

November 4, 2022 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 787 7th Avenue, New York, NY 10019

CRD#: 583

New York, NY

Past

June 20, 2014 - October 4, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

June 11, 2014 - October 4, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 18, 2011 - June 6, 2014

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

LONG ISLAND CITY, NY

Past

March 17, 2011 - June 6, 2014

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 1, 2006 - February 23, 2011

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

September 12, 2003 - January 5, 2004

ROBERT T. MOSEMAN, INC.

CRD#: 119304

NEW YORK, NY

Past

November 20, 2000 - January 29, 2002

SHIELDS & COMPANY

CRD#: 11053

NEW YORK, NY

Past

October 1, 2000 - January 2, 2002

PETER C. KENNY, INC.

CRD#: 32742

NEW YORK, NY

Past

June 6, 2000 - November 15, 2000

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(11/4/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 3/24/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/2005

General Securities Representative Examination

General Industry/Product Exam

Series 25

Date: 12/3/2001

NYSE Trading Assistant Examination

SRO Registrations

FINRA

Current Firm

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583 / SEC#: , 8-21901

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

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Contact information

Main Address

1285 Avenue Of The Americas, New York, NY 10019

Mailing Address

1285 Avenue Of The Americas, New York, NY 10019

Phone number

(212) 821-3000

Established

Delaware since 05/05/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	DIRECT OWNER
BELASCO, MICHAEL SCOTT	PRESIDENT AND CEO	4649742
HORAN, KATHLEEN ELIZABETH	CHIEF FINANCIAL OFFICER - FINOP	5188874
KEMPER, MARK FREDERICK	SECRETARY AND CHIEF LEGAL COUNSEL	4347419
MULLEN, BARRY JOHN	CHIEF COMPLIANCE OFFICER	1814958

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

Joseph W. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS ASSET MANAGEMENT (US) INC.

ROBERT T. MOSEMAN, INC.

SHIELDS & COMPANY

PETER C. KENNY, INC.

ABN AMRO SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/24/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/28/2005

Series 25

Date: 12/3/2001

FINRA

Current Firm

UBS ASSET MANAGEMENT (US) INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

UBS ASSET MANAGEMENT (US) INC.

TRUST BUT VERIFY

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