Jonathan DalyCRD Number: 3083890
Current Firm: Citizens Securities, Inc.
Jonathan Daly (CRD# 3083890) is an Investment Advisor Representative working at Citizens Securities, Inc. in East Providence, RI and has over 19 years of experience in the finance industry.
Spinnaker Asset Management Inc.
Balanced Wealth Management, LLC
Financial Independence, LLC
|Cco Investment Services Corp.||E Providence, RI||Oct 2014 - Current||3|
|Unemployed||Mystic, CT||Jul 2014 - Sep 2014||< 1|
|Morin Associates LLC||Groton, CT||Dec 2013 - Jun 2014||< 1|
|Harvest Capital, LLC||Wethersfield, CT||Oct 2001 - Nov 2013||12|
|Harvest Capital Advisors, LLC||Wethersfield, CT||Oct 2001 - Nov 2013||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1999|
|S65||NASAA Investment Advisors Law Examination||Apr 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management3,586MILLIONS
Total Number of Accounts26,251ACCOUNTS
Average Account Value$136,605
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV