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Detailed Report
Patrick kevin Dailey
PATRICK DAILEY
CRD#: 2475693
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 RANCHO SANTA MARGARITA, CA
Registration History
19952000200520102015202020252 FIRMS2012 - 2013 (<1 year)2 FIRMS2013 - 2014 (1 year)2 FIRMS2015 - 2017 (2 years)2 FIRMS2019 - Present (5 years)BCHELSEA FINANCIAL SERVICES (CRD# 47770)2019 - 2019 (<1 year)BCHELSEA FINANCIAL SERVICES (CRD# 47770)2018 - 2018 (<1 year)BMB TRADING (CRD# 30330)2013 - 2013 (<1 year)BWESTERN INTERNATIONAL SECURITI... (CRD# 39262)2008 - 2012 (3 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2000 - 2008 (7 years)BROUND HILL SECURITIES, INC. (CRD# 35223)2005 - 2005 (<1 year)BNATIONAL SECURITIES CORPORATION (CRD# 7569)1999 - 2000 (1 year)BQUEST CAPITAL STRATEGIES, INC. (CRD# 16783)1998 - 1999 (<1 year)BWM FINANCIAL SERVICES, INC. (CRD# 599)1997 - 1997 (<1 year)BASB FINANCIAL SERVICES (CRD# 24280)1996 - 1997 (1 year)BFIMCO SECURITIES GROUP, INC. (CRD# 30343)1996 - 1996 (<1 year)BSMITH BARNEY INC. (CRD# 7059)1995 - 1996 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1994 - 1995 (<1 year)IACLARAPHI ADVISORY NETWORK, LLC (CRD# 165868)2017 - 2019 (1 year)IAWESTERN INTERNATIONAL SECURITIES (CRD# 39262)2009 - 2012 (3 years)IAFIRST ALLIED SECURITIES, INC. (CRD# 32444)2007 - 2008 (1 year)
License(s)

State Registrations

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California 9/5/2019
IA
Iowa 1/9/2025
IA
California 9/5/2019
B
Massachusetts 5/3/2021
B
Iowa 1/8/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
RANCHO SANTA MARGARITA, CA
Registered with this firm since 9/5/2019
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
RANCHO SANTA MARGARITA, CA
Registered with this firm since 9/5/2019
Previous Registration(s)
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 03/31/2019 - 09/01/2019 CHELSEA FINANCIAL SERVICES (CRD#:47770) STATEN ISLAND, NY
IA
 10/12/2017 - 06/20/2019 CLARAPHI ADVISORY NETWORK, LLC (CRD#:165868) LAGUNA HILLS, CA
B
 01/04/2018 - 08/09/2018 CHELSEA FINANCIAL SERVICES (CRD#:47770) STATEN ISLAND, NY
IA
 03/20/2015 - 07/20/2017 ACORNS (CRD#:165926) IRVINE, CA
B
 03/20/2015 - 07/20/2017 ACORNS SECURITIES, LLC (CRD#:168172) Irvine, CA
IA
 05/13/2013 - 12/17/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) LOS ANGELES, CA
B
 05/13/2013 - 12/17/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) LOS ANGELES, CA
B
 04/15/2013 - 04/22/2013 MB TRADING (CRD#:30330) EL SEGUNDO, CA
IA
 07/11/2012 - 01/08/2013 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
B
 07/10/2012 - 01/08/2013 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
IA
 03/24/2009 - 07/09/2012 WESTERN INTERNATIONAL SECURITIES (CRD#:39262) JENKINTOWN, PA
B
 12/04/2008 - 07/09/2012 WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262) JENKINTOWN, PA
IA
 01/26/2007 - 10/20/2008 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
B
 12/06/2000 - 10/20/2008 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
B
 05/11/2005 - 06/13/2005 ROUND HILL SECURITIES, INC. (CRD#:35223) ALAMO, CA
B
 01/25/1999 - 12/07/2000 NATIONAL SECURITIES CORPORATION (CRD#:7569) BOCA RATON, FL
B
 02/19/1998 - 01/19/1999 QUEST CAPITAL STRATEGIES, INC. (CRD#:16783) LAGUNA HILLS, CA
B
 07/14/1997 - 07/16/1997 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
B
 06/13/1996 - 07/14/1997 ASB FINANCIAL SERVICES (CRD#:24280) IRVINE, CA
B
 02/15/1996 - 06/05/1996 FIMCO SECURITIES GROUP, INC. (CRD#:30343) PORT WASHINGTON, WI
B
 03/03/1995 - 01/22/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 06/20/1994 - 03/13/1995 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
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B
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.
IA
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.