Michael J Daly

Current Employers

J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-09-20
CA	RA	APPROVED	2013-09-05

TX RA
APPROVED_RES

Since 2013-09-20
CA RA
APPROVED

Since 2013-09-05

Branch Locations

7600 Dublin Blvd, Dublin, CA 94568 • United States

4741 Madison Ave, Floor 02, Sacramento, CA 95841 • 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
J.P. Morgan Securities Llc	San Leandro	CA	08/2013	Present

08/2013 → Present

J.P. Morgan Securities Llc

San Leandro, CA

Previous Registrations

2012-10-01 → 2013-08-26

J.P. Morgan Securities Llc

Walnut Creek, CA

Walnut Creek, CA

San Ramon, CA
2009-05-02 → 2012-10-01

Chase Investment Services Corp.

Walnut Creek, CA

Concord, CA

Santa Cruz, CA

Aptos, CA

Walnut Creek, CA
2008-10-17 → 2009-05-02

Wamu Investments, Inc.

Scotts Valley, CA

Santa Cruz, CA
2008-06-04 → 2008-09-30

Banc Of America Investment Services, Inc.

San Jose, CA

Aptos, CA

Santa Cruz, CA

Santa Cruz, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-06-03
S63	Uniform Securities Agent State Law Examination	1995-10-30

S65 Uniform Investment Adviser Law Examination

2008-06-03
S63 Uniform Securities Agent State Law Examination

1995-10-30

Other Names

Michael James Daly

View on SEC IAPD

Current Employers

J.P. Morgan Securities Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews