John Michael Daly

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2010 → 08/2019
  First Trust Portfolios L.P.
  Wheaton, IL
• 08/2019 → Present
  Rbc Capital Markets, Llc.
  Oakbrook, IL
• 01/2020 → 08/2021
  City National Bank
  Oakbrook Terrace, IL

Previous Registrations

• 2010-11-18 → 2019-08-26
  First Trust Advisors Lp
  Wheaton, IL
• 2009-05-12 → 2010-03-19
  Cetera Investment Advisers Llc
  Downers Grove, IL
• 2007-12-21 → 2009-01-27
  Rbc Capital Markets, Llc
  Oakbrook Terrace, IL

Other Businesses

NAME OF ENTITY: Premiere Publishing Corp ADDRESS: 325 E Breckenridge St, Louisville, KY 40203 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Distributes daily publications on horse racing news and analysis CAPACITY: Independent Contractor/Consultant START DATE: 05/01/21 DUTIES: Premiere Publishing Corp is my Grandfather's business. He is the second generation owner and at the age of 94 is asking his grandchildren to assist him with running the company. In my role I will be helping the Company expand their distribution channels and relationships. My recommendations will be made to him and the board, and will consist of working with third party marketing teams and other distribution partners. I will be asked to represent him and the brand when he is not able to do it himself. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S66 Uniform Combined State Law Examination
  2007-12-20

Other Names

• John Daly