Anne 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.
Anne M Daly, who also goes by Anne Michael Daly, Anne Marie Michael, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 2003. Anne had worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2015 - December 31, 2016
CR CAPITAL DISTRIBUTORS, LLC
April 1, 2006 - November 19, 2015
METLIFE INVESTORS DISTRIBUTION COMPANY
April 9, 2004 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
November 13, 2003 - November 21, 2003
VERAVEST INVESTMENTS, 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
Current Firm
CR CAPITAL DISTRIBUTORS, LLC
CRD#: 171776 / SEC#: , 8-69478
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.
