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Joseph William Daly

UBS Asset Management (us) Inc.

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About Joseph William Daly

Joseph Daly is a financial advisor with UBS Asset Management (us) Inc., located in New York, NY. Joseph has been in the financial industry since 2004. Joseph is licensed to conduct business in New York. Joseph holds the Series 66, SIE, Series 7 and Series 25 licenses. Joseph has experience with UBS Financial Services Inc., Citigroup Global Markets Inc., UBS Global Asset Management (US) Inc., Robert T. Moseman, Inc., Shields & Company, Peter C. Kenny, Inc. and ING Barings LLC.

Firm Information

Joseph Daly is currently registered with UBS Asset Management (us) Inc.. UBS Asset Management (us) Inc. is a corporation formed in May 1977 and is approved in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 1 approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

37

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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Joseph Daly’s Registration & Firm History

NY

11/04/2022 - Present

UBS Asset Management (us) Inc. (NEW YORK NY)

NJ

06/11/2014 - 10/04/2023

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

03/17/2011 - 06/06/2014

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

01/01/2006 - 02/23/2011

UBS GLOBAL ASSET MANAGEMENT (US) INC. (NEW YORK NY)

NY

09/12/2003 - 01/05/2004

ROBERT T. MOSEMAN, INC. (NEW YORK NY)

NY

11/20/2000 - 01/29/2002

SHIELDS & COMPANY (NEW YORK NY)

NY

10/01/2000 - 01/02/2002

PETER C. KENNY, INC. (NEW YORK NY)

NY

06/06/2000 - 11/15/2000

ING BARINGS LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 03/24/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/28/2005

Series 7 - General Securities Representative Examination

BC

Issued 12/03/2001

Series 25 - NYSE Trading Assistant Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph William Daly.
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