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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carrie? Claim Your ProfileCarrie Daly is a financial advisor with Morgan Stanley, a large firm based in Purchase, New York. Carrie has been a registered financial advisor since 1999 and has worked with clients across many states including Arizona, Illinois, and Texas. Carrie specializes in financial planning, portfolio management for businesses and individuals, as well as providing educational seminars. Carrie is committed to providing personalized financial advice that helps clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AZ
04/08/2020 - Present
Morgan Stanley (Scottsdale AZ)
IL
09/10/2014 - 03/04/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)
IL
12/04/2009 - 12/12/2013
MORGAN STANLEY (CHICAGO IL)
IL
05/15/2000 - 12/07/2009
NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)
MA
07/26/1999 - 12/31/1999
LIBERTY FUNDS DISTRIBUTOR, INC. (BOSTON MA)
IA
Issued 08/18/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/07/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/16/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2003
Series 7 - General Securities Representative Examination
BC
Issued 07/23/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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