JD
JD
Joanne Daly is a registered investment advisor at Morgan Stanley, based in Providence, RI, with 20 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
One Financial Plaza, 19th Floor, Providence, RI, 02903
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Regulatory History (1)
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Customer Dispute
July 2007Closed-No Action
Other Business Activities
Joanne is a board member for the United Way of Rhode Island, a non-profit organization. This activity requires minimal time and is investment-related.
Employment History
Current Registrations
Morgan Stanley
January 2016 - Present · 10 yrs 4 mos
Morgan StanleyBroker
January 2016 - Present · 10 yrs 4 mos
Previous Registrations
UBS Financial Services INC.
May 2007 - January 2016 · 8 yrs 8 mos
UBS Financial Services INC.Broker
May 2007 - January 2016 · 8 yrs 8 mos
Citigroup Global Markets INC.
August 2005 - May 2007 · 1 yr 9 mos
Citigroup Global Markets INC.Broker
July 2005 - May 2007 · 1 yr 10 mos
State Registrations23 states
ALCACOCTDCFLGAHIILMAMDMENCNHNJNMNYOHORRITXVAVT
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.