Craig W. 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.
Craig W Daley, who also goes by Craig Weston Daley, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2001. Craig had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2014 - December 1, 2014
RS FUNDS DISTRIBUTOR LLC
February 15, 2007 - June 2, 2014
GUARDIAN INVESTOR SERVICES LLC
October 19, 2004 - January 3, 2007
AMUNDI DISTRIBUTOR US, INC.
September 13, 2001 - May 29, 2002
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RS FUNDS DISTRIBUTOR LLC
CRD#: 165753 / SEC#: , 8-69182
Contact information
Documents
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.
