Roy 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.
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2024 - December 8, 2025
ERNST & YOUNG INVESTMENT ADVISERS LLP
February 27, 2023 - July 10, 2024
CITIZENS SECURITIES, INC.
February 27, 2023 - July 10, 2024
CITIZENS SECURITIES, INC.
March 17, 2022 - February 23, 2023
TRANSAMERICA RETIREMENT ADVISORS, LLC
March 17, 2022 - February 23, 2023
TRANSAMERICA INVESTORS SECURITIES, LLC
February 5, 2018 - August 3, 2021
WELLS FARGO CLEARING SERVICES, LLC
February 5, 2018 - August 3, 2021
WELLS FARGO CLEARING SERVICES, LLC
March 13, 2017 - August 2, 2017
EDWARD JONES
February 27, 2017 - August 2, 2017
EDWARD JONES
December 6, 2014 - April 8, 2016
USAA FINANCIAL PLANNING SERVICES
December 6, 2014 - April 8, 2016
USAA FINANCIAL ADVISORS, INC.
January 1, 2008 - September 8, 2014
FIDELITY BROKERAGE SERVICES LLC
July 3, 2006 - September 9, 2014
STRATEGIC ADVISERS LLC
April 24, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
June 15, 2004 - April 24, 2006
FIDELITY BROKERAGE SERVICES LLC
July 25, 2002 - June 15, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
February 28, 2002 - April 16, 2002
CAPITAL BROKERAGE CORPORATION
Primary Firm SEC Registration
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
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
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
Contact information
SEC notice filing (52 States and Territories)
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.
