Clinton R. Daly

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CRD#: 709214

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.

Clinton Riggs Daly was a registered financial professional .

Clinton is a previously registered financial professional and started their career in finance in 1980. Clinton had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 10, 2005 - October 1, 2018

BROWN ADVISORY SECURITIES, LLC

CRD#: 120736

BALTIMORE, MD

Past

July 1, 2003 - May 17, 2005

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

October 1, 1999 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 3, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

June 14, 1999 - October 1, 1999

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - June 14, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

May 31, 1980 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/12/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/26/1992

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BROWN ADVISORY SECURITIES, LLC

BROWN ADVISORY SECURITIES, LLC | BROWNIA SECURITIES, LLC

CRD#: 120736 / SEC#: 801-61427, 8-65342

Terminated by SEC on 01/13/2023

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Contact information

Main Address

901 South Bond Street Suite 400, Baltimore, MD 21231-3340

Mailing Address

Phone number

(410) 537-5400

Established

Maryland since 02/19/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

BROWN ADVISORY SECURITIES, LLC WRAP PROGRAM BROCHURE (3/30/2022)

Direct owners and executive officers

Name	Position	CRD#
BROWN ADVISORY MANAGEMENT, LLC	HOLDING COMPANY/MANAGING MEMBER
CHURCHILL, DAVID MICHAEL	CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER	2094155
KRASKA, KEVIN KARL	DESIGNATED PRINCIPAL	1617788
ROGERS, BRETT DAVID	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	4641164

Regulatory assets under management

Total Number of Accounts	393
AUM (Assets Under Management)	$ 392,032,102

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2022	Cover Page	Report
11/24/2021	Cover Page	Report

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.

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Firm Stability Insights

Clinton R. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/12/1980

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1980

Series 8

Date: 10/26/1992

Current Firm

BROWN ADVISORY SECURITIES, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BROWN ADVISORY SECURITIES, LLC

TRUST BUT VERIFY

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