Joseph Bayless

STERLING FINANCIAL ADVISORS

Omaha, NE

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CRD#: 1584624

Professional summary

Joseph Bayless, who also goes by Joe Bayless, is a registered financial advisor currently at STERLING FINANCIAL ADVISORS, LLC located in Omaha, Nebraska.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Joseph has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Bayless

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I am licensed to sell insurance ,annuities, and long term care thru multiple companies; some may be investment related. This business on behalf of Omaha Wealth Management LLC clients 6401 Pacific St , Omaha, Ne will be processed thru Raymond James Insurance Group , 880 Carrolon Parkway, St. Petersburg, Fl 33716 where applicvant ( Joseph Bayless) has been licensed since July 2010. Applicant devotes 1-2 hours per month to the outside business after the 8:30 a.m. -3:00p.m. trading day.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Bayless's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 4, 2022 - Present

STERLING FINANCIAL ADVISORS, LLC

RIA

CRD#: 107783

Omaha, NE

Past

July 1, 2016 - December 31, 2021

OMAHA WEALTH MANAGEMENT, LLC

RIA

CRD#: 284329

OMAHA, NE

Past

July 23, 2010 - August 2, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

OMAHA, NE

Past

June 25, 2010 - August 2, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

OMAHA, NE

Past

June 1, 2009 - July 21, 2010

MORGAN STANLEY

RIA

CRD#: 149777

OMAHA, NE

Past

June 1, 2009 - July 21, 2010

MORGAN STANLEY

CRD#: 149777

OMAHA, NE

Past

October 22, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

OMAHA, NE

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

OMAHA, NE

Past

November 21, 1986 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STERLING FINANCIAL ADVISORS, LLC

OMAHA WEALTH MANAGEMENT | STERLING FINANCIAL ADVISORS, LLC | STERLING FINANCIAL ADVISORS LLC

CRD#: 107783 / SEC#: 801-126400

RIA

Registered Investment Advisory firm - (8/17/2022 Approved)

Minnesota

Registered Investment Advisory firm - (8/23/2022 Terminated)

Nebraska

Registered Investment Advisory firm - (8/23/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nebraska
(1/4/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/7/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/22/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Current Firm

STERLING FINANCIAL ADVISORS, LLC

OMAHA WEALTH MANAGEMENT | STERLING FINANCIAL ADVISORS, LLC | STERLING FINANCIAL ADVISORS LLC

CRD#: 107783 / SEC#: 801-126400

RIA

Registered Investment Advisory firm - (8/17/2022 Approved)

Minnesota

Registered Investment Advisory firm - (8/23/2022 Terminated)

Nebraska

Registered Investment Advisory firm - (8/23/2022 Terminated)

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Contact information

Main Address

Omaha, NE

Mailing Address

Phone number

(402) 970-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- PENSION CONSULTING ONLY (3/27/2025)

ADV 2 APPENDIX 1- SFA (3/27/2025)

FORM ADV 2A APPENDIX 1- OWM (3/27/2025)

Regulatory assets under management

Total Number of Accounts	337
AUM (Assets Under Management)	$ 142,982,564

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.

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Joseph Bayless

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Bayless's CRS (Customer Relationship Summary).

Certified licenses

Experience

OMAHA WEALTH MANAGEMENT, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

STERLING FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/1992

Series 63

Date: 12/15/1986

SIE

Date: 8/2/2016

Series 3

Date: 12/22/1986

Series 7

Date: 11/15/1986

Current Firm

STERLING FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STERLING FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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