Joseph M. Daly
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.
Joseph Michael Daly was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2002. Joseph had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 21, Series 25 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2017 - April 26, 2019
MACQUARIE CAPITAL (USA) INC.
February 23, 2017 - May 23, 2017
KOYOTE TRADING LLC
July 12, 2013 - February 8, 2017
SANFORD C. BERNSTEIN & CO., LLC
March 12, 2012 - June 7, 2013
UBS SECURITIES LLC
September 4, 2009 - February 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2004 - September 4, 2009
BANC OF AMERICA SPECIALIST, INC.
March 1, 2002 - May 7, 2004
VAN DER MOOLEN SPECIALISTS USA, LLC
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 55
Date: 8/12/2008
Limited Representative-Equity Trader ExamSeries 21
Date: 6/26/2003
NYSE Front Line Specialist ClerkSeries 25
Date: 12/10/2002
NYSE Trading Assistant ExaminationCurrent Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
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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