Alan J. 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.
Alan James Daley, who also goes by Aj Daley, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2004. Alan had worked at 4 firms and has passed the Series 63, SIE, Series 7 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
March 16, 2018 - May 9, 2018
DIRECTED SERVICES LLC
February 16, 2015 - December 31, 2017
CR CAPITAL DISTRIBUTORS, LLC
December 11, 2004 - January 20, 2015
METLIFE INVESTORS DISTRIBUTION COMPANY
December 9, 2004 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
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
DIRECTED SERVICES LLC
CRD#: 21675 / SEC#: 801-32675, 8-39104
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
