Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Daley is a securities professional with over 25 years of experience in the financial services industry. John is currently a registered representative with Needham & Company, LLC where John is located in the New York office. Prior to joining Needham & Company, LLC, John worked at STIFEL, NICOLAUS & COMPANY, INCORPORATED, CANACCORD GENUITY LLC, JEFFERIES & COMPANY, INC., and DAIN BOSWORTH INCORPORATED. John holds several industry licenses including Series 7, Series 24, Series 55, Series 57TO, and Series 99TO.
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.
Securities research
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.
Pursuant to csa agreements
1
2
NY
11/04/2022 - Present
Needham & Company, LLC (NEW YORK NY)
TX
02/26/2020 - 01/21/2021
STONEX FINANCIAL INC. (Dallas TX)
TX
12/06/2017 - 07/10/2019
CANACCORD GENUITY LLC (DALLAS TX)
TX
02/01/2008 - 08/31/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (DALLAS TX)
NJ
05/01/1997 - 06/07/2006
JEFFERIES & COMPANY, INC. (JERSEY CITY NJ)
NA
09/01/1993 - 04/29/1997
DAIN BOSWORTH INCORPORATED
BC
Issued 08/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/26/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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