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Daryl Jay Braley

Raymond James Financial Services, Inc.

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About Daryl Jay Braley

Daryl Jay Braley is a financial advisor with over 20 years of experience in the industry. Daryl is registered with Raymond James Financial Services, Inc. and is currently located in the Dallas, Texas branch office. Daryl specializes in a variety of financial planning services, including investment management, retirement planning and estate planning.

Firm Information

Daryl Braley is currently registered with Raymond James Financial Services, Inc.. Raymond James Financial Services, Inc. is a Corporation that was formed on September 12, 1973. The firm is registered in 53 states and is also registered with the SEC. The firm has been involved in 125 regulatory events and 76 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

568

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Daryl Braley’s Registration & Firm History

TX

04/14/2023 - Present

Raymond James Financial Services, Inc. (DALLAS TX)

TX

07/02/2020 - 01/12/2022

RAYMOND JAMES FINANCIAL SERVICES, INC. (DALLAS TX)

TX

01/02/2018 - 11/30/2018

AMERIPRISE FINANCIAL SERVICES, INC. (RICHARDSON TX)

TX

12/17/2015 - 05/05/2017

RAYMOND JAMES & ASSOCIATES, INC. (DALLAS TX)

TX

08/13/2015 - 12/07/2015

CREDIT SUISSE SECURITIES (USA) LLC (DALLAS TX)

TX

05/08/2007 - 12/24/2014

JEFFERIES LLC (DALLAS TX)

TX

10/26/2006 - 05/15/2007

BANC OF AMERICA INVESTMENT SERVICES, INC. (DALLAS TX)

TX

09/11/2006 - 10/03/2006

WACHOVIA SECURITIES, LLC (DALLAS TX)

TX

10/04/2004 - 09/05/2006

CITIGROUP GLOBAL MARKETS INC. (DALLAS TX)

NY

06/10/2004 - 09/02/2004

MORGAN STANLEY DW INC. (PURCHASE NY)

TX

11/18/2003 - 01/15/2004

SIG SECURITIES, L.L.C. (DALLAS TX)

NY

08/25/2003 - 11/17/2003

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MD

10/03/2002 - 08/25/2003

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

NY

01/13/2001 - 10/09/2002

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MD

05/28/1998 - 01/13/2001

DB ALEX. BROWN LLC (BALTIMORE MD)

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Licenses & Designations

BC

Issued 06/30/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/03/2015

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/26/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Daryl Jay Braley. Review regulatory record here.
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