CB
Caroline E. Bailey
GILDER GAGNON HOWE & CO. LLC
New York, NY 10018
Some features on this profile are disabled
CRD#: 2504031
CB
Professional summary
Caroline Elizabeth Bailey, who also goes by Caroline Elizabeth Baily, is a registered financial professional currently at GILDER GAGNON HOWE & CO. LLC located in New York, New York.
Caroline is registered as a RR (Registered Representative) and started their career in finance in 1995. Caroline has worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Caroline Elizabeth Baily
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.
CRS (Client Relationship Summary) - BD
Click below to view Caroline Elizabeth Bailey's 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®
NoneExperience
Current
January 14, 2016 - Present
GILDER GAGNON HOWE & CO. LLC
Office #1: 475 Tenth Ave 12th Floor, New York, NY 10018RIA
BD
CRD#: 2002
New York, NY
Past
July 7, 2015 - January 7, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
September 3, 2014 - July 7, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
NEW YORK, NY
Past
January 3, 2003 - September 5, 2014
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
June 14, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
March 4, 1999 - March 30, 1999
WINCHESTER INVESTMENT SECURITIES, INC.
BD
CRD#: 28543
OVERLAND PARK, KS
Past
January 12, 1998 - November 4, 1998
CARNEGIE INVESTOR SERVICES INC.
BD
CRD#: 8295
NEW YORK, NY
Past
December 19, 1996 - December 18, 1997
MEYERS POLLOCK ROBBINS, INC.
BD
CRD#: 13436
NEW YORK, NY
Past
November 16, 1995 - December 19, 1996
BILTMORE SECURITIES, INC.
BD
CRD#: 25023
FT. LAUDERDALE, FL
Past
August 22, 1995 - December 6, 1995
WINDSOR REYNOLDS SECURITIES, INC.
BD
CRD#: 6456
HONOLULU, HI
Past
January 16, 1995 - August 17, 1995
STRATTON OAKMONT INC.
BD
CRD#: 18692
LAKE SUCCESS, NY
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".
GILDER GAGNON HOWE & CO. LLC
GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO
CRD#: 2002 / SEC#: 801-65667, 8-30196
RIA
Registered Investment Advisory firm - SEC (1/27/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/14/2016)
RR
Alaska(1/14/2016)
RR
Arizona(1/14/2016)
RR
Arkansas(1/14/2016)
RR
California(1/14/2016)
RR
Colorado(1/14/2016)
RR
Connecticut(1/14/2016)
RR
Delaware(1/14/2016)
RR
District of Columbia(1/14/2016)
RR
Florida(1/14/2016)
RR
Georgia(1/14/2016)
RR
Hawaii(1/14/2016)
RR
Idaho(1/14/2016)
RR
Illinois(1/14/2016)
RR
Indiana(1/14/2016)
RR
Iowa(1/14/2016)
RR
Kansas(1/14/2016)
RR
Kentucky(1/14/2016)
RR
Louisiana(1/14/2016)
RR
Maine(1/14/2016)
RR
Maryland(1/14/2016)
RR
Massachusetts(1/14/2016)
RR
Michigan(1/14/2016)
RR
Minnesota(1/14/2016)
RR
Mississippi(1/14/2016)
RR
Missouri(1/14/2016)
RR
Montana(1/14/2016)
RR
Nevada(1/14/2016)
RR
New Hampshire(1/14/2016)
RR
New Jersey(1/14/2016)
RR
New Mexico(1/14/2016)
RR
New York(1/14/2016)
RR
North Carolina(1/19/2016)
RR
North Dakota(1/14/2016)
RR
Ohio(1/14/2016)
RR
Oklahoma(1/14/2016)
RR
Oregon(1/14/2016)
RR
Pennsylvania(1/14/2016)
RR
Rhode Island(1/14/2016)
RR
South Carolina(1/14/2016)
RR
South Dakota(1/24/2018)
RR
Tennessee(1/14/2016)
RR
Texas(1/14/2016)
RR
Utah(1/14/2016)
RR
Vermont(1/14/2016)
RR
Virginia(1/14/2016)
RR
Washington(1/14/2016)
RR
West Virginia(1/14/2016)
RR
Wisconsin(1/14/2016)
RR
Wyoming(1/14/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
GILDER GAGNON HOWE & CO. LLC
GGHC | GILDER, GAGNON & CO., INC. | GILDER, GAGNON & CO. | GILDER GAGNON HOWE & CO. LLC | GILDER GAGNON HOWE & CO
CRD#: 2002 / SEC#: 801-65667, 8-30196
RIA
Registered Investment Advisory firm - SEC (1/27/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
475 Tenth Avenue 12th Floor, New York, NY 10018-1120
Mailing Address
475 Tenth Avenue, New York, NY 10018
Phone number
(212) 765-2500
Established
New York since 01/04/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
88
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOWE, DAVID STEWART | MANAGING MEMBER | 812707 |
| RIZAVI, SHAIZA MARIAM | CHIEF EXECUTIVE OFFICER / MANAGING MEMBER | 2874858 |
| ANDERSON, TRAVIS KNAPP | MANAGING MEMBER | 853424 |
| DEUTSCH, JAMES MICHAEL | CHIEF EXECUTIVE OFFICER/MANAGING MEMBER | 4565264 |
| MCCORMICK, MICHAEL PATRICK | MEMBER | 1857693 |
| ALI, SHAFQAT | CHIEF INFORMATION SECURITY OFFICER/MEMBER | 6009773 |
| ESPOSITO, LAURA MICHELE | CHIEF COMPLIANCE OFFICER | 6727167 |
| HUYNH, DAVID CO | CHIEF FINANCIAL OFFICER | 5443515 |
Regulatory assets under management
| Total Number of Accounts | 8,767 |
| AUM (Assets Under Management) | $ 11,604,602,601 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 09/20/2024 | ||
| 11/10/2023 | ||
| 12/15/2022 |
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.
