Michael J. Bailey
Professional summary
Michael John Bailey, who also goes by Michael J Bailey, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Inver Grove Heights, Minnesota and TRANSAMERICA INVESTORS SECURITIES, LLC located in Rogers, Minnesota.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Bailey's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2014 - Present
TRANSAMERICA RETIREMENT ADVISORS, LLC
January 2, 2014 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
June 17, 2011 - December 31, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 16, 2011 - December 31, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 12, 2010 - May 3, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 2008 - June 15, 2010
BANCWEST INVESTMENT SERVICES, INC.
September 18, 2008 - June 15, 2010
BANCWEST INVESTMENT SERVICES, INC.
February 15, 2007 - September 8, 2008
FELTL & COMPANY
July 14, 2004 - September 22, 2006
RBC CAPITAL MARKETS, LLC
May 17, 2004 - September 22, 2006
RBC CAPITAL MARKETS, LLC
May 5, 1994 - July 12, 1994
CETERA INVESTMENT SERVICES LLC
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/13/2014)
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(3/28/2014)
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(1/22/2014)
(1/3/2014)
(1/7/2014)
Exams
FINRA
Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
