William A. Bailey
Professional summary
William Austin Bailey was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William Austin Bailey was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2015 - February 6, 2020
ASSOCIATED PROFESSIONAL INVESTMENTS
September 3, 2003 - December 23, 2008
NEXT FINANCIAL GROUP, INC.
October 17, 1998 - September 4, 2003
MUTUAL SERVICE CORPORATION
March 24, 1994 - October 30, 1998
OSAIC WEALTH, INC.
September 30, 1991 - March 8, 1994
LPL FINANCIAL LLC
August 21, 1991 - October 1, 1991
FSC SECURITIES CORPORATION
November 9, 1988 - August 2, 1991
MASON, HUNT & CO., INC.
June 20, 1984 - November 15, 1988
INVEST FINANCIAL CORPORATION
March 1, 1983 - May 23, 1984
RAUSCHER PIERCE REFSNES, INC.
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
Current Firm
ASSOCIATED PROFESSIONAL INVESTMENTS
CRD#: 148986 / SEC#:
Contact information
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.
