Bernard J. 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.
Bernard Joseph Bailey was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1986. Bernard had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2010 - February 22, 2013
FIRST SOUTHWEST COMPANY, LLC
March 3, 2009 - May 5, 2010
STERNE, AGEE & LEACH, INC.
July 19, 1996 - June 9, 2008
J.P. MORGAN SECURITIES LLC
February 4, 1996 - July 2, 1996
RAUSCHER PIERCE REFSNES, INC.
March 11, 1991 - December 31, 1995
LAZARD FRERES & CO. LLC
March 9, 1989 - March 21, 1991
HSBC BROKERAGE (USA) INC.
January 10, 1989 - March 6, 1991
MARINE MIDLAND CAPITAL MARKETS CORP.
January 5, 1987 - January 9, 1989
REINOSO & COMPANY, INCORPORATED
May 20, 1986 - January 14, 1987
THOMSON MCKINNON SECURITIES 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
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| 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.
