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Detailed Report
DANIEL PATRICK O'MALLEY
DAN P OMALLEY, DANIEL PATRICK OMALLEY
CRD#: 5015668
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 233 South Wacker Drive
Suite 8600
Chicago, IL 60606
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - 2010 (<1 year)2 FIRMS2014 - Present (10 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2010 - 2014 (3 years)BH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)2007 - 2008 (<1 year)BCHICAGO INVESTMENT GROUP, LLC (CRD# 11853)2006 - 2007 (<1 year)IAH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)2008 - 2008 (<1 year)
License(s)

State Registrations

B
Alabama 5/14/2014
B
Nebraska 5/14/2014
B
Alaska 5/14/2014
B
Nevada 5/14/2014
B
Arizona 4/15/2014
B
New Hampshire 5/14/2014
B
Arkansas 5/14/2014
B
New Jersey 5/14/2014
B
California 4/15/2014
B
New Mexico 5/14/2014
B
Colorado 5/14/2014
B
New York 4/15/2014
B
Connecticut 4/15/2014
B
North Carolina 5/14/2014
B
Delaware 5/14/2014
B
North Dakota 5/14/2014
B
District of Columbia 5/14/2014
B
Ohio 5/14/2014
B
Florida 4/15/2014
B
Oklahoma 5/14/2014
B
Georgia 5/14/2014
B
Oregon 5/14/2014
B
Hawaii 5/14/2014
B
Pennsylvania 5/14/2014
B
Idaho 5/14/2014
B
Puerto Rico 5/14/2014
B
Illinois 4/11/2014
B
Rhode Island 5/14/2014
IA
Illinois 12/22/2016
B
South Carolina 5/14/2014
B
Indiana 5/14/2014
B
South Dakota 5/14/2014
B
Iowa 5/14/2014
B
Tennessee 5/14/2014
B
Kansas 5/14/2014
B
Texas 5/14/2014
B
Kentucky 5/14/2014
IA
Texas 5/19/2014
B
Louisiana 5/14/2014
B
Utah 5/14/2014
B
Maine 5/14/2014
B
Vermont 5/14/2014
B
Maryland 5/14/2014
B
Virgin Islands 5/14/2014
B
Massachusetts 5/14/2014
B
Virginia 5/14/2014
B
Michigan 5/14/2014
B
Washington 5/14/2014
B
Minnesota 5/14/2014
B
West Virginia 5/14/2014
B
Mississippi 5/14/2014
B
Wisconsin 5/14/2014
B
Missouri 5/14/2014
B
Wyoming 5/14/2014
B
Montana 5/14/2014

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MORGAN STANLEY (CRD#:149777)
233 South Wacker Drive Suite 8600, Chicago, IL 60606
Registered with this firm since 5/19/2014
B
MORGAN STANLEY (CRD#:149777)
233 South Wacker Drive Suite 8600, Chicago, IL 60606
Registered with this firm since 4/11/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 04/21/2010 - 03/24/2014 NORTHERN TRUST SECURITIES, INC. (CRD#:7927) CHICAGO, IL
IA
 04/15/2009 - 03/23/2010 ADVANCED EQUITIES, INC. (CRD#:35545) CHICAGO, IL
B
 04/22/2009 - 03/23/2010 ADVANCED EQUITIES, INC. (CRD#:35545)
FINRA expelled the firm on 08/18/2014
CHICAGO, IL
IA
 02/20/2008 - 05/05/2008 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) NAPERVILLE, IL
B
 11/01/2007 - 05/05/2008 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) NAPERVILLE, IL
B
 11/16/2006 - 07/26/2007 CHICAGO INVESTMENT GROUP, LLC (CRD#:11853)
FINRA expelled the firm on 09/14/2010
CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.