John P. Daily
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.
John Phillip Daily, who also goes by John Philip Daily, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2003 - April 24, 2017
BROAD STREET CAPITAL MARKETS, LLC
July 30, 1984 - April 8, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
October 19, 1982 - June 19, 1984
CITIGROUP GLOBAL MARKETS INC.
March 3, 1982 - September 23, 1982
EDWARD JONES
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
Series 1
Date: 1/24/1973
Registered Representative ExaminationCurrent Firm
BROAD STREET CAPITAL MARKETS, LLC
CRD#: 104026 / SEC#: , 8-52487
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
