James P. Bailey

ELEMENT WEALTH

Ridgeland, MS 39157

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CRD#: 2696064

Professional summary

James Paul Bailey, who also goes by James P Bailey, Jimmy Bailey, is a registered financial advisor currently at ELEMENT WEALTH, LLC located in Ridgeland, Mississippi.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James P Bailey | Jimmy Bailey

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.

1)10/17/2019 - Trustmark Financial Services - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s)- start: 09/2019

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Paul 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

October 24, 2024 - Present

ELEMENT WEALTH, LLC

Office #1: 800 Woodlands Pky Suite 201, Ridgeland, MS 39157

RIA

CRD#: 114968

Ridgeland, MS

Past

January 24, 2024 - February 14, 2024

ELEMENT WEALTH, LLC

RIA

CRD#: 114968

RIDGELAND, MS

Past

February 18, 2020 - February 15, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

MADISON, MS

Past

December 11, 2019 - February 15, 2024

LPL FINANCIAL LLC

CRD#: 6413

MADISON, MS

Past

February 9, 1996 - September 18, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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".

ELEMENT WEALTH, LLC

BARRY C. SMITH | WOODRIDGE CAPITAL PORTFOLIO MANAGEMENT, LLC | SMITH,BARRY,CARL | ELEMENT WEALTH, LLC

CRD#: 114968 / SEC#: 801-61758

RIA

Registered Investment Advisory firm - (1/24/2003 Approved)

Mississippi

Registered Investment Advisory firm - (3/14/2003 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

Mississippi
(10/24/2024)

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 66

Date: 2/14/2020

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/8/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/11/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/4/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/8/1996

General Securities Representative Examination

Current Firm

ELEMENT WEALTH, LLC

BARRY C. SMITH | WOODRIDGE CAPITAL PORTFOLIO MANAGEMENT, LLC | SMITH,BARRY,CARL | ELEMENT WEALTH, LLC

CRD#: 114968 / SEC#: 801-61758

RIA

Registered Investment Advisory firm - (1/24/2003 Approved)

Mississippi

Registered Investment Advisory firm - (3/14/2003 Terminated)

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Contact information

Main Address

800 Woodlands Pky Suite 201, Ridgeland, MS 39157

Mailing Address

Phone number

(601) 957-6006

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ELEMENT WEALTH ADV 2A MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,572
AUM (Assets Under Management)	$ 641,942,995

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James P. Bailey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Paul Bailey's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELEMENT WEALTH, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ELEMENT WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2020

Series 65

Date: 3/8/1996

Series 63

Date: 3/8/1996

Series 7TO

Date: 12/11/2019

SIE

Date: 10/4/2019

Series 7

Date: 2/8/1996

Current Firm

ELEMENT WEALTH, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELEMENT WEALTH, LLC

TRUST BUT VERIFY

Contact information

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