Lawrence J. 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.
Lawrence Joseph Daly was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1971. Lawrence had worked at 8 firms and has passed the Series 65, Series 63, Series 5, Series 1 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
November 21, 2012 - December 31, 2018
DAC ASSET MANAGEMENT LLC
July 23, 2004 - April 29, 2005
VERITAS FINANCIAL ADVISORS LLC
March 3, 2004 - October 23, 2012
DAC ASSET MANAGEMENT LLC
August 3, 1994 - September 14, 1998
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
October 27, 1989 - May 23, 1994
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
April 24, 1978 - September 12, 1989
SALOMON BROTHERS INC.
March 30, 1976 - May 3, 1978
WEEDEN & CO.
October 23, 1974 - February 26, 1976
PAINEWEBBER SPECIALISTS INCORPORATED
August 11, 1971 - March 1, 1974
CLARK, DODGE & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 1/28/1982
Interest Rate Options ExaminationSeries 1
Date: 8/9/1971
Registered Representative ExaminationSeries 40
Date: 11/4/1978
Registered Principal ExaminationCurrent Firm
DAC ASSET MANAGEMENT LLC
CRD#: 129838 / SEC#: 801-64537
Contact information
Red Flags
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