Kathy Daly, financial advisor Indianapolis IN

Kathy Daly

CRD Number: 1401920
Current Firm: Stifel, Nicolaus & Company, Incorporated

Kathy Daly (CRD# 1401920) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Indianapolis, IN and has over 38 years of experience in the finance industry.

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Merrill Lynch, Pierce, Fenner & Smith Incorporated
Company Name Location Dates Years
Stifel, Nicolaus & Company, Incorporated Muncie, IN Feb 2017 - Current 7
City Securities Corporation Muncie, IN Apr 2004 - Feb 2017 12
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1985
S65 NASAA Investment Advisors Law Examination Sep 2000
Contact Info for Kathy F. Daly
By the Numbers
  • Total Assets Under Management
    132,551
    MILLIONS
  • Total Number of Accounts
    334,814
    ACCOUNTS
  • Average Account Value
    $395,894
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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, WY

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