Ann M. 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.
Ann Marie Bailey, who also goes by Ann Marie Miller, Ann Marie Thompson, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1992. Ann had worked at 8 firms and has passed the Series 66, 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
January 21, 2014 - July 26, 2017
CETERA INVESTMENT ADVISERS LLC
December 10, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
December 10, 2010 - July 26, 2017
CETERA INVESTMENT SERVICES LLC
June 28, 2005 - December 10, 2010
CETERA WEALTH SERVICES, LLC
May 20, 2003 - December 10, 2010
CETERA WEALTH SERVICES, LLC
April 19, 2002 - January 17, 2003
BB&T INVESTMENT SERVICES, INC.
March 14, 2001 - January 17, 2003
BB&T INVESTMENT SERVICES, INC.
February 23, 1998 - August 31, 2000
BB&T INVESTMENT SERVICES, INC.
November 12, 1997 - February 23, 1998
NEWCOMB AND COMPANY
January 13, 1995 - July 24, 1995
ARGUS SECURITIES, INC.
July 31, 1993 - October 12, 1994
CITIGROUP GLOBAL MARKETS INC.
December 7, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
