Lawrence W. 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 William 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 9 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 1996 - January 16, 1998
RVR SECURITIES CORP.
August 11, 1994 - July 19, 1995
W.J. GALLAGHER & COMPANY, INC.
November 19, 1993 - July 20, 1994
REYNOLDS KENDRICK STRATTON, INC.
July 1, 1992 - September 8, 1993
WEDBUSH SECURITIES INC.
February 22, 1988 - June 30, 1992
MCCLURG CAPITAL CORPORATION
June 3, 1980 - January 8, 1988
UBS FINANCIAL SERVICES INC.
August 25, 1978 - July 30, 1980
EDELSTEIN CAMPBELL & CO., INC.
February 1, 1973 - September 22, 1973
DAVIS, SKAGGS & CO., INC.
July 14, 1971 - March 8, 1973
WEIS SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 11/18/1958
Registered Representative ExaminationCurrent Firm
RVR SECURITIES CORP.
CRD#: 33938 / SEC#: , 8-46166
Contact information
Documents
Red Flags
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