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Detailed Report
DANIEL DALY HICKEY
DANIEL D HICKEY
CRD#: 2076001
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Investment Adviser
SHELTER ROCK MANAGEMENT, LLCCRD#: 142739 Bronx, NY
Registration History
JulOct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct2026IASHELTER ROCK MANAGEMENT, LLC (CRD# 142739)2022 - Present (2 years)IASTEPPING STONES MANAGEMENT, LLC (CRD# 138170)2022 - 2022 (<1 year)
License(s)

State Registrations

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New York 10/6/2022
Current Registration(s)
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SHELTER ROCK MANAGEMENT, LLC (CRD#:142739)
Bronx, NY
Registered with this firm since 10/6/2022
Previous Registration(s)
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 04/15/2022 - 10/31/2022 STEPPING STONES MANAGEMENT, LLC (CRD#:138170) NEW YORK, NY
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.