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Michael Sean Daly

Advisors Asset Management, Inc.

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About Michael Sean Daly

Michael Sean Daly is an investment advisor representative registered with Advisors Asset Management, Inc. Michael has been in the industry since April 2011. Michael has passed the Series 6, Series 7, Series 63, and Series 66 exams. Michael has been registered with Advisors Asset Management, Inc. since April 2024, and previously worked at TCW FUNDS DISTRIBUTORS LLC.

Firm Information

Michael Daly is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Michael Daly’s Registration & Firm History

MA

04/18/2024 - Present

Advisors Asset Management, Inc. (Marshfield MA)

MA

03/31/2014 - 11/24/2023

TCW FUNDS DISTRIBUTORS LLC (Boston MA)

MA

07/15/1999 - 02/10/2000

LIBERTY FUNDS DISTRIBUTOR, INC. (BOSTON MA)

MA

10/08/1996 - 07/15/1999

KEYPORT FINANCIAL SERVICES CORP. (WELLESLEY HILLS MA)

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Licenses & Designations

BOTH

Issued 12/04/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/15/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/31/2014

Series 7 - General Securities Representative Examination

BC

Issued 10/07/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Michael Sean Daly.
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