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MD

Michael W. Daly

ASTORIA CAPITAL MARKETS
Mineola, NY 11501
Some features on this profile are disabled
CRD#: 4684416
MD

Professional summary

Michael W Daly is a registered financial professional currently at ASTORIA CAPITAL MARKETS, INC. located in Mineola, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Michael W 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

February 26, 2004 - Present

ASTORIA CAPITAL MARKETS, INC.

Office #1: 344a Willis Ave, Mineola, NY 11501
BD
CRD#: 45349
Mineola, NY

State Registrations and Notice Filings

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

RR
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

RR
Florida
(5/26/2010)
RR
New York
(3/1/2004)

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ASTORIA CAPITAL MARKETS, INC.
ASTORIA CAPITAL MARKETS, INC.

CRD#: 45349 / SEC#: , 8-51033

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
344a Willis Ave, Mineola, NY 11501
Mailing Address
344a Willis Ave, Mineola, NY 11501
Phone number
(347) 514-9075
Established
Delaware since 03/12/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
SUTTON, JOHN RHODESPRESIDENT, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER
DALY, MICHAEL WSHAREHOLDER4684416
CARTY, CAROLYNFINOP1935528

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.

Company Information

ASTORIA CAPITAL MARKETS, INC.

CRD#: 45349Mineola, NY 11501

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