Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Daley is a registered investment advisor representative with First Trust Advisors LP. Eric has been in the industry since 1999. He is a Series 6, 7, 3, 63, 65 and SIE licensed advisor. Eric holds active registrations in Illinois and New Jersey.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fixed fees per unit (uits) for portfolio supervisory services
1
2
IL
02/01/2012 - Present
First Trust Advisors LP (WHEATON IL)
MA
03/26/2008 - 02/01/2012
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
CA
10/12/2004 - 03/04/2008
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
NY
07/17/1999 - 08/23/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
10/11/2001 - 10/15/2001
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
MA
05/15/1996 - 07/23/1998
JOHN HANCOCK FUNDS, INC. (BOSTON MA)
IA
Issued 06/06/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/22/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/1999
Series 3 - National Commodity Futures Examination
BC
Issued 06/17/1997
Series 7 - General Securities Representative Examination
BC
Issued 05/13/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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