Daniel Christopher 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dan Daly
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
OMNICAP GROUP LLC
Contact Information
Main Address
2286 E. Maple Ave, El Segundo, CA 90245Phone Number
(310) 318-3091# of Employees
15SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
297AUM (Assets Under Management)
$6,508,395,000Similar Advisors
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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.
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Primary Firm SEC Registration
OMNICAP GROUP LLC
State Registrations and Notice Filings
(7/6/2023)
(4/26/2024)
(6/7/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Apr 2023About the Series 50 examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Aug 2024About the Series 54 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel Christopher Daly's CRS (Customer Relationship Summary).
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