BD
Brendan Daly
BGC FINANCIAL, L.P.
Darien, CT 06820
Some features on this profile are disabled
CRD#: 5352259
BD
Professional summary
Brendan Daly, who also goes by Brendan Joseph Daly, Brendon Joseph Daly, is a registered financial professional currently at BGC FINANCIAL, L.P. located in Darien, Connecticut.
Brendan is registered as a RR (Registered Representative) and started their career in finance in 2009. Brendan has worked at 4 firms and has passed the Series 66, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 30 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brendan Joseph Daly | Brendon Joseph Daly
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.
CRS (Client Relationship Summary) - BD
Click below to view Brendan Daly's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 30, 2021 - Present
BGC FINANCIAL, L.P.
Office #1: 6 Thorndal Circle Floor 2, Darien, CT 06820Office #2: 55 Water Street 10th Floor, New York, NY 10004BD
CRD#: 19801
Darien, CT
Past
December 3, 2020 - July 1, 2021
SUNRISE BROKERS LLC
BD
CRD#: 151012
NEW YORK, NY
Past
June 22, 2016 - December 2, 2020
BAY CREST PARTNERS, LLC
BD
CRD#: 39944
NY, NY
Past
April 25, 2013 - June 13, 2016
SUNRISE BROKERS LLC
BD
CRD#: 151012
NEW YORK, NY
Past
January 12, 2009 - April 25, 2013
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
JERSEY CITY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/29/2022)
RR
Connecticut(10/5/2021)
RR
Florida(3/7/2022)
RR
Illinois(7/21/2021)
RR
Minnesota(3/8/2022)
RR
New Jersey(1/24/2022)
RR
New York(6/30/2021)
RR
Pennsylvania(9/29/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/18/2010
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BF
BGC FINANCIAL, L.P.
AUREL, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE, A DIVISION OF BGC FINANCIAL, L.P. | SUNRISE BROKERS, A DIVISION OF BGC FINANCIAL LP | PRECISION, A DIVISION OF BGC FINANCIAL, L.P. | POTEN CAPITAL, A DIVISION OF BGC FINANCIAL, L.P. | MINT PARTNERS, A DIVISION OF BGC FINANCIAL, L.P. | MAXCOR FINANCIAL INC. | MAXCOR (DIVISION OF EURO BROKERS INC.) | MAXCOR | FENICS, A DIVISION OF BGC FINANCIAL, L.P. | FENICS UST, A DIVISION OF BGC FINANCIAL, L.P. | FENICS US TREASURIES, A DIVISION OF BGC FINANCIAL, L.P. | FENICS GO US, A DIVISION OF BGC FINANCIAL, L.P | EUROBROKERS, A DIVISION OF BGC FINANCIAL, L.P. | EURO BROKERS, A DIVISION OF MAXCOR FINANCIAL INC. | EURO BROKERS MAXCOR INC. | BGC RV | BGC RELATIVE VALUE, A DIVISION OF BGC FINANCIAL, L.P. | BGC LIQUIDEZ, A DIVISION OF BGC FINANCIAL, L.P. | BGC LAKE, A DIVISION OF BGC FINANCIAL, L.P. | BGC FINANCIAL, L.P. | BGC FINANCIAL INC.
CRD#: 19801 / SEC#: , 8-39012
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
55 Water Street 10th Floor, New York, NY, 10004
Mailing Address
55 Water Street 10th Floor, New York, NY, 10041
Phone number
(646) 346-7000
Established
Delaware since 04/02/2008
Firm type
Partnership
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BGC BROKERS US L.P. | LIMITED PARTNER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| AUBIN, JEAN PIERRE | EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES | 5596046 |
| BGCF HOLDINGS LLC | GENERAL PARTNER | |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | MANAGING DIRECTOR FIXED INCOME AND COMMODITIES | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 36 |
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.
