Ricardo O. Daley
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.
Ricardo Oneil Daley, who also goes by Ricardo O'neil Daley, Ricardo Oneil Daley, Rick O'neil Daley, Rick Daley, Ricardo Daley, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 2003. Ricardo had worked at 9 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2021 - March 15, 2023
VICTORY CAPITAL SERVICES, INC.
October 21, 2020 - November 13, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
July 5, 2018 - October 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 2017 - January 12, 2018
PAYCHEX SECURITIES CORPORATION
October 17, 2011 - July 13, 2016
USAA FINANCIAL ADVISORS, INC.
January 13, 2010 - November 8, 2010
VANGUARD MARKETING CORPORATION
August 7, 2008 - January 7, 2010
WADDELL & REED
December 13, 2006 - April 29, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2006 - April 29, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 2005 - June 20, 2006
NATCITY INVESTMENTS, INC.
April 29, 2003 - June 30, 2004
KEYBANC CAPITAL MARKETS 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
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
VICTORY CAPITAL SERVICES, INC.
CRD#: 37059 / SEC#: , 8-47577
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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