Roland E. 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.
Roland Earl Bailey JR., who also goes by Roland Earl Bailey Jr, Roland Earl Bailey, Ron Bailey, was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1970. Roland had worked at 13 firms and has passed the Series 65, Series 63, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2013 - May 27, 2014
NYLIFE SECURITIES LLC
May 26, 2010 - October 11, 2013
COMPASS EFFICIENT MODEL PORTFOLIOS, LLC
May 26, 2010 - December 5, 2011
MATRIX CAPITAL GROUP, INC.
December 7, 2006 - May 27, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
December 7, 2006 - May 27, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
July 25, 2006 - November 9, 2006
CAPITAL FINANCIAL SERVICES, INC.
July 20, 2006 - November 9, 2006
CAPITAL FINANCIAL SERVICES, INC.
June 4, 2004 - July 26, 2004
RESOURCE HORIZONS GROUP LLC
February 2, 2004 - June 2, 2004
AMERITAS INVESTMENT COMPANY, LLC
December 6, 2002 - December 31, 2002
AMERITAS INVESTMENT COMPANY, LLC
July 10, 2002 - June 2, 2004
AMERITAS INVESTMENT COMPANY, LLC
December 16, 1999 - June 26, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 8, 1998 - December 21, 1999
METROPOLITAN LIFE INSURANCE COMPANY
December 8, 1998 - December 21, 1999
MSI FINANCIAL SERVICES, INC.
September 11, 1997 - December 21, 1998
PRUCO SECURITIES, LLC.
March 6, 1974 - August 27, 1997
AMERICAN GENERAL EQUITY SERVICES CORPORATION
June 24, 1970 - May 1, 1974
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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: 6/17/1970
Registered Representative ExaminationCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
