Daniel C. Daly
Professional summary
Daniel Christopher Daly, who also goes by Dan Daly, is a registered financial advisor currently at OMNICAP GROUP LLC located in Cranford, New Jersey.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Daniel has worked at 3 firms and has passed the Series 66, Series 63, Series 50, Series 79TO, Series 52TO, SIE, Series 7 and Series 54 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Christopher Daly's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 7, 2023 - Present
OMNICAP GROUP LLC
October 6, 2006 - May 5, 2023
CITIGROUP GLOBAL MARKETS INC.
March 7, 2006 - September 11, 2006
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
OMNICAP GROUP LLC
CRD#: 133387 / SEC#: 801-63715
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/6/2023)
(4/26/2024)
(6/7/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
OMNICAP GROUP LLC
CRD#: 133387 / SEC#: 801-63715
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 320 |
| AUM (Assets Under Management) | $ 6,378,885,000 |
Red Flags
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