Wendy L. Nelson Bailey

SOUTHERN CAPITAL SERVICES

Daphne, AL 36526

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CRD#: 1985291

Professional summary

Wendy Louise Nelson Bailey, CFP®, who also goes by Wendy Louise Bailey, Wendy Nelson Bailey, Wendy Nelson Hatch, Wendy L. Nelson, Wendy Louise Nelson, is a registered financial advisor currently at SOUTHERN CAPITAL SERVICES INC located in Daphne, Alabama.

Wendy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Wendy has worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wendy Louise Bailey | Wendy Nelson Bailey | Wendy Nelson Hatch | Wendy L. Nelson | Wendy Louise Nelson

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 Wendy Louise Nelson 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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

November 7, 2011 - Present

SOUTHERN CAPITAL SERVICES INC

Office #1: 29000 Us Hwy 98 The Summit, Suite 203-b, Daphne, AL 36526

RIA

CRD#: 105582

Daphne, AL

Past

January 24, 2011 - November 8, 2011

WOODMEN FINANCIAL SERVICES, INC.

CRD#: 117365

OMAHA, NE

Past

November 6, 2007 - December 17, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

DAPHNE, AL

Past

November 6, 2007 - December 17, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

DAPHNE, AL

Past

March 30, 2005 - June 7, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MOBILE, AL

Past

March 30, 2005 - June 7, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 28, 2004 - July 26, 2004

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

November 18, 1994 - July 26, 2004

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

March 2, 1992 - November 9, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 2, 1992 - November 9, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

SOUTHERN CAPITAL SERVICES INC

SOUTHERN CAPITAL SERVICES INC | SOUTHERN CAPITAL SERVICES, INC.

CRD#: 105582 / SEC#: 801-111685

RIA

Registered Investment Advisory firm - (9/15/2017 Approved)

Alabama

Registered Investment Advisory firm - (10/13/2017 Terminated)

California

Registered Investment Advisory firm - (10/19/2017 Terminated)

Florida

Registered Investment Advisory firm - (9/19/2017 Terminated)

Georgia

Registered Investment Advisory firm - (9/20/2017 Terminated)

Louisiana

Registered Investment Advisory firm - (9/20/2017 Terminated)

Mississippi

Registered Investment Advisory firm - (9/21/2017 Terminated)

Texas

Registered Investment Advisory firm - (9/19/2017 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

Alabama
(11/7/2011)

IAR

Texas
(7/23/2012)

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: 4/7/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 4/14/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/27/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/1995

General Securities Principal Examination

Current Firm

SOUTHERN CAPITAL SERVICES INC

SOUTHERN CAPITAL SERVICES INC | SOUTHERN CAPITAL SERVICES, INC.

CRD#: 105582 / SEC#: 801-111685

RIA

Registered Investment Advisory firm - (9/15/2017 Approved)

Alabama

Registered Investment Advisory firm - (10/13/2017 Terminated)

California

Registered Investment Advisory firm - (10/19/2017 Terminated)

Florida

Registered Investment Advisory firm - (9/19/2017 Terminated)

Georgia

Registered Investment Advisory firm - (9/20/2017 Terminated)

Louisiana

Registered Investment Advisory firm - (9/20/2017 Terminated)

Mississippi

Registered Investment Advisory firm - (9/21/2017 Terminated)

Texas

Registered Investment Advisory firm - (9/19/2017 Terminated)

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Contact information

Main Address

29000 Us Hwy 98 The Summit, Suite 203-b, Daphne, AL 36526

Mailing Address

Phone number

(251) 626-1140

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A + 2B (3/13/2025)

Regulatory assets under management

Total Number of Accounts	711
AUM (Assets Under Management)	$ 174,107,059

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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Wendy L. Nelson Bailey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy Louise Nelson Bailey's CRS (Customer Relationship Summary).

Certified licenses

Experience

WOODMEN FINANCIAL SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SOUTHERN CAPITAL SERVICES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/7/2005

Series 63

Date: 3/9/1992

Series 31

Date: 4/14/2005

Series 7

Date: 2/27/1992

Series 24

Date: 2/22/1995

Current Firm

SOUTHERN CAPITAL SERVICES INC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUTHERN CAPITAL SERVICES INC

TRUST BUT VERIFY

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