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RB

Roy Bailey

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CRD#: 1601236
RB

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.

Roy Bailey, who also goes by Roy Dell Bailey, Roy Bailey, was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 2002. Roy had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 7, 2024 - December 8, 2025

ERNST & YOUNG INVESTMENT ADVISERS LLP

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.

BD
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

BD
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

BD
CRD#: 19616
NORTH RICHLAND HILLS, TX
Past

March 13, 2017 - August 2, 2017

EDWARD JONES

BD
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.

BD
CRD#: 129035
ADDISON, TX
Past

January 1, 2008 - September 8, 2014

FIDELITY BROKERAGE SERVICES LLC

BD
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

BD
CRD#: 17507
WESTLAKE, TX
Past

June 15, 2004 - April 24, 2006

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

July 25, 2002 - June 15, 2004

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

February 28, 2002 - April 16, 2002

CAPITAL BROKERAGE CORPORATION

BD
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".
E&
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/19/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/2002
General Securities Representative Examination

Current Firm

E&
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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.

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

CRD#: 110921

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