Broker Check
Travis  Daly

Travis Daly

Head of Supervision

Go to Travis for anything Supervision, from Signature Guarantees to friendly help in preparing for an Home Office Audit to Marketing Material Approval. Travis and his team talk to our advisors and staff population daily about suitability questions, OBAs, U4 updates, and general compliance questions. The team is here to serve you, the advisor, and our client. There is no question off limits, and you’ll find out real quick this team is on your side. 

Travis is a registered representative.  He began his career in 2000 with Franklin Templeton as a mutual fund wholesaler. Since 2010 he has supported Advisors for Signator Investors and Transamerica Financial Advisors as a senior compliance and supervision analyst. Travis brings significant experience in advisory, compliance, and supervision.

 Travis holds a Bacholer of Science degree in Business Management and is Series 6, 7, 24, 63 registered and FL and CA licensed. He lives in St. Petersburg, FL and in his free time he enjoys camping, fishing, and boating.