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Michael Daly

J.P. Morgan Securities LLC
30 Years of Experience
Dublin, CA
1 DisclosureBroker
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Michael Daly is a registered investment advisor at J.P. Morgan Securities LLC, based in Dublin, CA, with 30 years of industry experience. Michael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7600 Dublin Blvd, Dublin, CA, 94568

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2008
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
September 2013 - Present · 13 yrs 1 mo
J.P. Morgan Securities LLC
September 2013 - Present · 13 yrs 1 mo
Previous Registrations
J.P. Morgan Securities LLC
October 2012 - August 2013 · 10 mos
J.P. Morgan Securities LLCBroker
October 2012 - August 2013 · 10 mos
Chase Investment Services CORP.Broker
May 2009 - October 2012 · 3 yrs 5 mos
Chase Investment Services CORP.
May 2009 - October 2012 · 3 yrs 5 mos
Wamu Investments, INC.
October 2008 - May 2009 · 7 mos
Wamu Investments, INC.Broker
October 2008 - May 2009 · 7 mos
Banc of America Investment Services, INC.
June 2008 - September 2008 · 3 mos
Banc of America Investment Services, INC.Broker
May 2008 - September 2008 · 4 mos
Wamu Investments, INC.Broker
August 1998 - April 2008 · 9 yrs 8 mos
Financial Network Investment CorporationBroker
September 1996 - March 1998 · 1 yr 6 mos
Money Concepts Capital CORPBroker
October 1995 - September 1996 · 11 mos
State Registrations37 states
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AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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