Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Aloysius Daly is a financial advisor with over 22 years of experience in the industry. James is currently registered with Mizuho Securities USA LLC and holds a Series 7 and Series 63 license. James has also previously worked with Morgan Stanley & Co. LLC, Lazard Asset Management Securities LLC, and Deutsche Bank Securities Inc. James is registered in 52 states and the District of Columbia.
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.
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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2
NY
09/28/2018 - Present
Mizuho Securities USA LLC (NEW YORK NY)
NY
08/23/2017 - 09/06/2018
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
01/02/2013 - 07/10/2017
LAZARD ASSET MANAGEMENT SECURITIES LLC (NEW YORK NY)
NY
07/20/2000 - 11/27/2012
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BC
Issued 07/26/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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