AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WB

Walter S. Bailey

ARENA FINANCIAL SERVICES
New York, NY 10174
Some features on this profile are disabled
CRD#: 2583297
WB

Professional summary

Walter Stephen Bailey is a registered financial professional currently at ARENA FINANCIAL SERVICES, LLC located in New York, New York.

Walter is registered as a RR (Registered Representative) and started their career in finance in 1997. Walter has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Walter Stephen 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®
None

Experience

Current

February 2, 2022 - Present

ARENA FINANCIAL SERVICES, LLC

Office #1: 405 Lexington Avenue 59th Floor, New York, NY 10174
BD
CRD#: 281709
New York, NY
Past

July 30, 2017 - January 6, 2022

OBERON SECURITIES, LLC

BD
CRD#: 132598
NEW YORK, NY
Past

December 4, 2012 - October 5, 2015

ACADEMY SECURITIES, INC.

BD
CRD#: 17433
New York, NY
Past

March 20, 2012 - November 20, 2017

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
NEW YORK, NY
Past

April 1, 2010 - December 31, 2011

FOCUS CAPITAL GROUP, INC.

BD
CRD#: 143240
NEW YORK, NY
Past

May 16, 2007 - December 2, 2008

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY
Past

May 2, 2006 - April 18, 2007

GIULIANI CAPITAL ADVISORS LLC

BD
CRD#: 111140
NEW YORK, NY
Past

October 12, 2003 - April 19, 2006

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

November 29, 1997 - September 5, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 26, 1997 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

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
(2/22/2022)
RR
Alaska
(2/22/2022)
RR
Arizona
(2/22/2022)
RR
Arkansas
(2/22/2022)
RR
California
(2/22/2022)
RR
Colorado
(2/22/2022)
RR
Connecticut
(2/22/2022)
RR
Delaware
(2/22/2022)
RR
District of Columbia
(2/22/2022)
RR
Florida
(2/22/2022)
RR
Georgia
(2/22/2022)
RR
Hawaii
(2/22/2022)
RR
Idaho
(2/22/2022)
RR
Illinois
(2/22/2022)
RR
Indiana
(2/22/2022)
RR
Iowa
(2/22/2022)
RR
Kansas
(2/22/2022)
RR
Kentucky
(2/22/2022)
RR
Louisiana
(2/22/2022)
RR
Maine
(2/22/2022)
RR
Maryland
(2/22/2022)
RR
Massachusetts
(2/22/2022)
RR
Michigan
(2/22/2022)
RR
Minnesota
(2/22/2022)
RR
Mississippi
(2/22/2022)
RR
Missouri
(2/22/2022)
RR
Montana
(2/22/2022)
RR
Nebraska
(2/22/2022)
RR
Nevada
(2/22/2022)
RR
New Hampshire
(2/22/2022)
RR
New Jersey
(2/15/2022)
RR
New Mexico
(2/22/2022)
RR
New York
(2/2/2022)
RR
North Carolina
(2/22/2022)
RR
North Dakota
(2/22/2022)
RR
Ohio
(2/22/2022)
RR
Oklahoma
(2/22/2022)
RR
Oregon
(2/22/2022)
RR
Pennsylvania
(2/22/2022)
RR
Puerto Rico
(2/22/2022)
RR
Rhode Island
(2/22/2022)
RR
South Carolina
(2/22/2022)
RR
South Dakota
(2/22/2022)
RR
Tennessee
(2/23/2022)
RR
Texas
(2/22/2022)
RR
Utah
(2/22/2022)
RR
Vermont
(2/22/2022)
RR
Virginia
(2/22/2022)
RR
Washington
(2/22/2022)
RR
West Virginia
(2/22/2022)
RR
Wisconsin
(2/22/2022)
RR
Wyoming
(2/22/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/30/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ARENA FINANCIAL SERVICES, LLC
ARENA FINANCIAL SERVICES, LLC

CRD#: 281709 / SEC#: , 8-69682

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
405 Lexington Avenue 59th Floor, New York, NY, 10174
Mailing Address
405 Lexington Avenue 59th Floor, New York, NY, 10174
Phone number
(212) 612-3203
Established
Delaware since 06/04/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARENA INVESTORS GROUP HOLDINGS, LLCOWNER
CUTLER, LAWRENCE DAVIDPRESIDENT/ CEO4404656
GEORGE, THOMAS KEITHFINOP, PFO POO5378303
LAMA, TSERING LHASANGCCO7818283

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.

Company Information

ARENA FINANCIAL SERVICES, LLC

CRD#: 281709New York, NY 10174

TRUST BUT VERIFY

Monitor Walter Bailey

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics