James 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.
James Daly, who also goes by James Michael Daly Jr, Jim Daly, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2019 - November 8, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2003 - February 20, 2019
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
August 4, 1997 - August 28, 2001
MORGAN KEEGAN & COMPANY, LLC
January 13, 1997 - August 22, 1997
BELLE HAVEN INVESTMENTS, L.P.
November 7, 1995 - December 23, 1996
J. B. HANAUER & CO.
March 20, 1995 - October 30, 1995
LLAMA COMPANY
October 3, 1994 - March 22, 1995
ABN AMRO SECURITIES LLC
March 12, 1993 - April 7, 1994
R.W. SMITH & ASSOCIATES, LLC
November 16, 1992 - February 23, 1993
ASCH-DWYER MUNICIPAL SECURITIES, L.P.
May 21, 1992 - October 30, 1992
PRINTON, KANE GROUP, INC.
October 23, 1989 - September 20, 1991
J.J. KENNY DRAKE, INC.
June 26, 1989 - September 23, 1989
DAIN RAUSCHER INCORPORATED
July 15, 1986 - May 18, 1988
RAUSCHER PIERCE REFSNES, INC.
November 19, 1984 - March 17, 1986
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
July 29, 1981 - October 16, 1984
TITUS & DONNELLY LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
