Jonathan Daly, financial advisor East Providence RI
81 score

Jonathan Daly

CRD 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 17 years of experience in the finance industry.

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Company Name Location Dates Years
Cco Investment Services Corp. E Providence, RI Oct 2014 - Current 2
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
Disclosure Information

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
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Jonathan P. Daly
Phone Number: 1-800-942-8300
Registered State(s):
  • RI
By the Numbers
  • Total Assets Under Management
    27,379
    MILLIONS
  • Total Number of Accounts
    19,253
    ACCOUNTS
  • Average Account Value
    $1,422,068
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AL, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KY, LA, MD, ME, MI, MN, MO, MS, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
81

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