John N. 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.
John Neal Daly was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 12 firms and has passed the Series 66, Series 63, Series 65, SIE, PC, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2016 - December 7, 2020
SILVER LEAF PARTNERS, LLC
March 30, 2011 - April 29, 2016
PATRICK CAPITAL MARKETS, LLC
March 14, 2011 - March 23, 2011
XTON FINANCIAL LLC
December 9, 2009 - March 23, 2011
XTON FINANCIAL LLC
February 17, 2009 - October 15, 2009
LEDGEMONT CAPITAL MARKETS LLC
March 25, 2008 - December 31, 2010
INVESTMENT MANAGEMENT MARKETING SERVICES, LLC
November 5, 2007 - January 15, 2009
SANDERS MORRIS LLC
April 9, 2003 - June 9, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 29, 1997 - February 12, 1999
KEY INVESTMENTS INC.
October 25, 1994 - October 6, 1995
EDGEWOOD SERVICES, INC.
September 12, 1990 - August 18, 1994
GS2 SECURITIES, INC.
April 17, 1984 - July 3, 1989
SALOMON BROTHERS INC.
December 4, 1969 - April 27, 1984
E. F. HUTTON & COMPANY INC
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 8/18/1961
Registered Representative ExaminationSeries 40
Date: 12/1/1969
Registered Principal ExaminationCurrent Firm
SILVER LEAF PARTNERS, LLC
CRD#: 126694 / SEC#: , 8-65902
Contact information
FINRA licenses (50 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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