JD
John M. Daly
RBC CAPITAL MARKETS
Oakbrook Terrace, IL 60181-4715
Some features on this profile are disabled
CRD#: 5434961
JD
Professional summary
John Michael Daly JR, who also goes by John Daly, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Oakbrook Terrace, Illinois.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. John has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John 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.
NAME OF ENTITY: Premiere Publishing Corp ADDRESS: 325 E Breckenridge St, Louisville, KY 40203 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Distributes daily publications on horse racing news and analysis CAPACITY: Independent Contractor/Consultant START DATE: 05/01/21 DUTIES: Premiere Publishing Corp is my Grandfather's business. He is the second generation owner and at the age of 94 is asking his grandchildren to assist him with running the company. In my role I will be helping the Company expand their distribution channels and relationships. My recommendations will be made to him and the board, and will consist of working with third party marketing teams and other distribution partners. I will be asked to represent him and the brand when he is not able to do it himself. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Daly JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Michael Daly JR'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
August 8, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: Two Mid America Plaza Suite 500 South, Oakbrook Terrace, IL 60181-4715RIA
BD
CRD#: 31194
Oakbrook Terrace, IL
Current
August 8, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: Two Mid America Plaza Suite 500 South, Oakbrook Terrace, IL 60181-4715RIA
BD
CRD#: 31194
Oakbrook Terrace, IL
Past
November 18, 2010 - August 26, 2019
FIRST TRUST ADVISORS LP
RIA
CRD#: 107027
WHEATON, IL
Past
July 16, 2010 - August 26, 2019
FIRST TRUST PORTFOLIOS L.P.
BD
CRD#: 28519
WHEATON, IL
Past
May 12, 2009 - March 19, 2010
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
DOWNERS GROVE, IL
Past
May 12, 2009 - March 19, 2010
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
DOWNERS GROVE, IL
Past
December 21, 2007 - January 27, 2009
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
OAKBROOK TERRACE, IL
Past
December 6, 2007 - January 27, 2009
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
OAKBROOK TERRACE, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(8/12/2019)
RR
California(8/8/2019)
RR
Colorado(8/8/2019)
RR
Delaware(11/26/2024)
RR
District of Columbia(6/29/2022)
RR
Florida(8/8/2019)
RR
Georgia(8/12/2019)
RR
Illinois(8/8/2019)
IAR
Illinois(8/8/2019)
RR
Indiana(8/8/2019)
RR
Iowa(8/12/2019)
RR
Kansas(8/12/2019)
RR
Maryland(8/12/2019)
RR
Massachusetts(8/12/2019)
RR
Michigan(8/12/2019)
RR
Minnesota(8/12/2019)
RR
Missouri(8/12/2019)
RR
Nebraska(8/12/2019)
RR
Nevada(8/12/2019)
RR
New York(8/8/2019)
RR
North Carolina(8/12/2019)
RR
Ohio(8/12/2019)
RR
Oregon(8/12/2019)
RR
Pennsylvania(8/8/2019)
RR
Tennessee(8/8/2019)
RR
Texas(8/12/2019)
IAR
Texas(8/12/2019)
RR
Virginia(8/12/2019)
RR
Washington(8/12/2019)
RR
West Virginia(9/10/2024)
RR
Wisconsin(8/12/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
