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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

JOHN MICHAEL DALY

Advisor at RBC CAPITAL MARKETS, LLC

DARIEN, IL | OAKBROOK TERRACE, IL

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Search this name across graphsid dfx:ria:d0476a05-16a1-ea27-5088-71e94725fe49

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 21, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 20, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Dec 20, 2007
First registration: Dec 21, 2007
Dual registered: yes, broker-dealer
Other names: JOHN DALY
IAPD individual key: 5434961

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC CAPITAL MARKETS, LLC	National bd RIA	Aug 8, 2019	n/a	yes	OAKBROOK TERRACE, IL\|DARIEN, IL	Current employment
FIRST TRUST ADVISORS LP	Asset manager	Nov 18, 2010	Aug 26, 2019	no	WHEATON, IL	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	May 12, 2009	Mar 19, 2010	no	DOWNERS GROVE, IL	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Dec 21, 2007	Jan 27, 2009	no	OAKBROOK TERRACE, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST TRUST ADVISORS LP	RBC CAPITAL MARKETS, LLC	Aug 26, 2019	Aug 8, 2019	-18	Firm change	Other
CETERA INVESTMENT ADVISERS LLC	FIRST TRUST ADVISORS LP	Mar 19, 2010	Nov 18, 2010	244	Firm change	Other
RBC CAPITAL MARKETS, LLC	CETERA INVESTMENT ADVISERS LLC	Jan 27, 2009	May 12, 2009	105	Firm change	Other

Relationships

Registered with (3)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Dec 21, 2007 to Jan 27, 2009factForm ADV
→ FIRST TRUST ADVISORS LPRegistered adviserregistration: previous registration
Nov 18, 2010 to Aug 26, 2019factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
May 12, 2009 to Mar 19, 2010factForm ADV

Dated events

No dated event names this entity yet.