Roy Bailey

ERNST & YOUNG INVESTMENT ADVISERS LLP

Dallas, TX 75270

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CRD#: 1601236

Professional summary

Roy Bailey, who also goes by Roy Dell Bailey, Roy Bailey, is a registered financial advisor currently at ERNST & YOUNG INVESTMENT ADVISERS LLP located in Dallas, Texas.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Roy has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roy Dell Bailey | Roy Bailey

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Bailey'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

November 7, 2024 - Present

ERNST & YOUNG INVESTMENT ADVISERS LLP

Office #1: 1201 Elm Street, Dallas, TX 75270

RIA

CRD#: 110921

Dallas, TX

Past

February 27, 2023 - July 10, 2024

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

IRVING, TX

Past

February 27, 2023 - July 10, 2024

CITIZENS SECURITIES, INC.

CRD#: 39550

IRVING, TX

Past

March 17, 2022 - February 23, 2023

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Euless, TX

Past

March 17, 2022 - February 23, 2023

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

February 5, 2018 - August 3, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NORTH RICHLAND HILLS, TX

Past

February 5, 2018 - August 3, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NORTH RICHLAND HILLS, TX

Past

March 13, 2017 - August 2, 2017

EDWARD JONES

CRD#: 250

ARLINGTON, TX

Past

February 27, 2017 - August 2, 2017

EDWARD JONES

RIA

CRD#: 250

ARLINGTON, TX

Past

December 6, 2014 - April 8, 2016

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

ADDISON, TX

Past

December 6, 2014 - April 8, 2016

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

ADDISON, TX

Past

January 1, 2008 - September 8, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

July 3, 2006 - September 9, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

April 24, 2006 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

WESTLAKE, TX

Past

June 15, 2004 - April 24, 2006

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

July 25, 2002 - June 15, 2004

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

February 28, 2002 - April 16, 2002

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

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".

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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

Texas
(11/7/2024)

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: 6/19/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/6/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/27/2002

General Securities Representative Examination

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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Contact information

Main Address

200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094

Mailing Address

Phone number

(800) 273-0588

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

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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Advisor Monitoring

Firm Stability Insights

Roy Bailey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Bailey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EDWARD JONES

EDWARD JONES

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

FIDELITY BROKERAGE SERVICES LLC

STRATEGIC ADVISERS LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

CAPITAL BROKERAGE CORPORATION

Primary Firm SEC Registration

ERNST & YOUNG INVESTMENT ADVISERS LLP

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2006

Series 63

Date: 3/6/2002

SIE

Date: 10/1/2018

Series 7

Date: 2/27/2002

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

TRUST BUT VERIFY

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