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ROBERT ANTHONY DALY
BOB DALY JR, BOBBY DALY JR, ROBERT ANTHONY DALY JR
CRD#: 3111426
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200220042006200820102012201420162018202020222024IAXTELLUS ADVISORS LLC (CRD# 313437)2023 - 2024 (<1 year)IAMORGAN STANLEY (CRD# 149777)2016 - 2023 (7 years)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2009 - 2016 (6 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2003 - 2009 (6 years)IABEAR, STEARNS & CO. INC. (CRD# 79)2001 - 2003 (1 year)
Disclosure(s)
View By:
10/8/2024
Regulatory
Final
9/20/2024
Customer Dispute
Closed-No Action
7/17/2024
Customer Dispute
Denied
Previous Registration(s)
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10/06/2023 - 03/29/2024 XTELLUS ADVISORS LLC (CRD#:313437) New York, NY
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02/18/2016 - 03/27/2023 MORGAN STANLEY (CRD#:149777) Los Angeles, CA
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03/10/2009 - 02/29/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) LOS ANGELES, CA
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02/07/2003 - 03/26/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
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10/25/2001 - 02/21/2003 BEAR, STEARNS & CO. INC. (CRD#:79) LOS ANGELES, CA
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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.