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Detailed Report
SHANNON MARIE DALY
SHANNON DALY, Shannon Marie Daly
CRD#: 5771102
IA
Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 N16 W23217 STONE RIDGE DRIVE
SUITE 100
WAUKESHA, WI 53188
Registration History
2010201220142016201820202022202420262 FIRMS2016 - 2018 (1 year)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2019 - Present (5 years)BEDWARD JONES (CRD# 250)2014 - 2016 (1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)2010 - 2014 (4 years)IAEDWARD JONES (CRD# 250)2015 - 2016 (1 year)
License(s)

State Registrations

IA
Texas 6/27/2024
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Wisconsin 4/30/2019
Current Registration(s)
IA
EDELMAN FINANCIAL ENGINES (CRD#:104510)
N16 W23217 STONE RIDGE DRIVE SUITE 100, WAUKESHA, WI 53188
Registered with this firm since 4/30/2019
Previous Registration(s)
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 07/25/2016 - 02/23/2018 STRATEGIC ADVISERS, INC. (CRD#:104555) BROOKFIELD, WI
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 07/06/2016 - 02/20/2018 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) BROOKFIELD, WI
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 02/27/2015 - 06/07/2016 EDWARD JONES (CRD#:250) WAUKESHA, WI
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 11/17/2014 - 06/07/2016 EDWARD JONES (CRD#:250) WAUKESHA, WI
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 05/18/2010 - 11/13/2014 VANGUARD MARKETING CORPORATION (CRD#:7452) MALVERN, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.