Michael Gerard 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

• 04/2014 → 06/2025
  Ubs Financial Services Inc.
  White Plains, NY
• 06/2025 → Present
  Rbc Capital Markets, Llc
  Purchase, NY
• 07/2025 → Present
  City National Bank
  Purchase, NY

Previous Registrations

• 2014-06-25 → 2025-07-24
  Ubs Financial Services Inc.
  Purchase, NY
  Yorktown Heights, NY

Other Businesses

1) HUGUENOT GARDENS TENANT CORPORATION / 450 PELHAM ROAD NEW ROCHELLE,NY 10805 / CO-OPERATION/ REAL ESTATE / 24 UNIT CO-OPERATIVE APARTMENT BLDG / MEMBER OF BOARD OF DIRECTORS / / MANAGEMENT OF A CO-OPERATIVE BLDG / START DATE 10/6/2014. (2) NAME OF ENTITY: Lakeland Central School District Of Shrub Oak Inc ADDRESS: 1086 East Main Street Shrub Oak NY 10588 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Government Institution START DATE: 01/07/2015 CAPACITY: Elected Offical DUTIES: I am one of nine publicly elected trustees. As a Trustee I serve on the Audit Committee, Facilities Committee and the District Youth Council. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (3) NAME OF ENTITY: Rental unit 2B at 450 Pelham Road, New Rochelle NY 10805 ADDRESS: 758 Wildwood Ct Yorktown Heights, NY 10598-1151 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: 01/08/1997 CAPACITY: Owner DUTIES: I own a 2 bedroom co-op in New Rochelle NY that has been rented to the same tenant since 1997 HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours (4) NAME OF ENTITY: Lakeland Central School District Of Shrub Oak Inc ADDRESS: 1086 East Main Street Shrub Oak NY 10588 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Government Institution START DATE: Jul 02, 2026 CAPACITY: Elected Official DUTIES: President Lakeland Central School Board - The school board is comprised of nine individuals elected by the public. Each member serves a three year term. The terms are staggered such that three board members run for election each year. The school board President and Vice President are elected annually by the nine member board. The Board is the official policy making body of the school district. It is responsible for carrying out the laws and regulations pertaining to the education of all district students. Its responsibilities include employing the District Superintendent, approving contracts including labor agreements, evaluating the effectiveness of Lakeland programs, oversight of financial management inclusive of the annual audit and the preparation and adoption of the annual school budget. HOURS DEVOTED PER MONTH: 15 hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S66 Uniform Combined State Law Examination
  2005-09-07

Other Names

• Michael Gerard Daly
• Michael G Gerard Daly