Robert D. Bailey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Duke Bailey, who also goes by Chip Bailey, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 6 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2000 - July 18, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 25, 1992 - May 8, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 3, 1984 - September 19, 1989
SIGNATOR INVESTORS, INC.
January 3, 1984 - August 28, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 15, 1980 - February 1, 1983
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 2, 1978 - January 31, 1980
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 10, 1973 - October 19, 1977
VP DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/5/1973
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
