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Michael Stephen Daly

Foreside Fund Services, LLC

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About Michael Stephen Daly

Michael Daly is a financial professional with over 20 years of experience in the industry. Michael is currently registered with Foreside Fund Services, LLC and is a Series 6, 7, 63 and 66 licensed professional. Michael has held previous positions with KESTRA INVESTMENT SERVICES, LLC, MGI FUNDS DISTRIBUTORS, LLC, MMC SECURITIES LLC, ADP BROKER-DEALER, INC., AMERITAS INVESTMENT CORP., SECURIAN FINANCIAL SERVICES, INC., EDWARD JONES and SCUDDER DISTRIBUTORS, INC.

Firm Information

Michael Daly is currently registered with Foreside Fund Services, LLC. Foreside Fund Services, LLC is a Limited Liability Company formed in 1998. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

625

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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Michael Daly’s Registration & Firm History

IL

11/29/2023 - Present

Foreside Fund Services, LLC (Chicago IL)

IL

08/23/2022 - 09/01/2023

KESTRA INVESTMENT SERVICES, LLC (Chicago IL)

IL

01/06/2020 - 04/08/2022

MGI FUNDS DISTRIBUTORS, LLC (Chicago IL)

IL

11/07/2013 - 12/31/2019

MMC SECURITIES LLC (CHICAGO IL)

NJ

11/20/2012 - 09/30/2013

ADP BROKER-DEALER, INC. (ROSELAND NJ)

NE

01/25/2007 - 06/04/2012

AMERITAS INVESTMENT CORP. (LINCOLN NE)

MN

03/14/2002 - 06/07/2005

SECURIAN FINANCIAL SERVICES, INC. (ST. PAUL MN)

MO

11/28/2001 - 02/01/2002

EDWARD JONES (ST. LOUIS MO)

IL

01/06/1999 - 08/10/2001

SCUDDER DISTRIBUTORS, INC. (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 12/04/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/18/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/19/2000

Series 7 - General Securities Representative Examination

BC

Issued 01/05/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael Stephen Daly.
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