Joanne Marie Daly

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-06-29
RI	RA	APPROVED	2016-02-15

TX RA
APPROVED

Since 2016-06-29
RI RA
APPROVED

Since 2016-02-15

Branch Locations

One Financial Plaza 19Th Floor, Providence, RI 02903 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney Llc	Providence	RI	01/2016	Present
Morgan Stanley Private Bank, N.A.	New York	NY	02/2016	Present

01/2016 → Present

Morgan Stanley Smith Barney Llc

Providence, RI
02/2016 → Present

Morgan Stanley Private Bank, N.A.

New York, NY

Previous Registrations

2007-05-04 → 2016-01-26

Ubs Financial Services Inc.

Providence, RI
2005-08-08 → 2007-05-18

Citigroup Global Markets Inc.

Providence, RI

Providence, RI

Other Businesses

1.*456327- United Way of Rhode Island; Investment related No; Providence, Rhode Island; Non-Profit; Board Member (proprietor, partner, officer, director, employee, trusteeagent10/2021; During business hours: 4; After business hours: 1; Administrative

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-08-05
S63	Uniform Securities Agent State Law Examination	2005-07-22

S65 Uniform Investment Adviser Law Examination

2005-08-05
S63 Uniform Securities Agent State Law Examination

2005-07-22

View on SEC IAPD