William G. 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.
William Gaston Bailey, who also goes by William G Bailey, William Bailey, William Gaston Bailey, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
University of Iowa
BBA - Finance
1983
Experience
February 1, 2024 - May 29, 2025
EDWARD JONES
February 1, 2024 - May 29, 2025
EDWARD JONES
December 22, 2021 - January 24, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 30, 2021 - January 23, 2024
FIDELITY BROKERAGE SERVICES LLC
December 14, 2018 - March 25, 2019
TD AMERITRADE, INC.
December 14, 2018 - March 25, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 13, 2018 - March 25, 2019
TD AMERITRADE, INC.
July 30, 2018 - September 6, 2018
FAIRPORT CAPITAL, INC.
July 29, 2016 - August 24, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 16, 2007 - August 24, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 2, 2007 - November 19, 2007
MORGAN STANLEY & CO. LLC
February 16, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
April 11, 1997 - February 27, 2001
UBS FINANCIAL SERVICES INC.
March 17, 1994 - April 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
