Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Michael Daly is a financial advisor with RBC Capital Markets, LLC. John has been in the financial services industry for 15 years. John is registered with the Securities and Exchange Commission (SEC) and is a registered representative in the state of Illinois and Texas. John holds the Series 7, Series 66, and SIE licenses. John is a licensed Investment Advisor Representative (IAR) in Illinois and Texas and is also a Registered Representative (RR) in the states of Alaska, Arizona, California, Colorado, District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, Nevada, New York, North Carolina, Ohio, Oregon, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wisconsin. Prior to joining RBC Capital Markets, LLC, John worked at First Trust Portfolios L.P. and Genworth Financial Securities Corporation. John's areas of expertise include but are not limited to portfolio management for individuals and businesses, retirement planning, and financial planning. John is dedicated to helping his 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
IL
08/12/2019 - Present
RBC Capital Markets, LLC (OAKBROOK TERRACE IL)
IL
07/16/2010 - 08/26/2019
FIRST TRUST PORTFOLIOS L.P. (WHEATON IL)
IL
05/12/2009 - 03/19/2010
GENWORTH FINANCIAL SECURITIES CORPORATION (DOWNERS GROVE IL)
IL
12/06/2007 - 01/27/2009
RBC CAPITAL MARKETS CORPORATION (OAKBROOK TERRACE IL)
BOTH
Issued 12/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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