Ellen B Bailey
CPWA®Professional Summary
Ellen B Bailey, CPWA®, who also goes by Ellen Augusta Brockelman, Ellen Brockelman Bailey, Ellen Bailey, is a registered financial advisor currently at SP SECURITIES LLC located in Houston, Texas. Ellen is registered as a RR (Registered Representative) and started their career in finance in 1996. Ellen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ellen Augusta Brockelman, Ellen Brockelman Bailey, Ellen Bailey
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
SP SECURITIES LLC
Contact Information
Main Address
6363 Woodway Dr Suite 1000, Houston, TX 77057Mailing Address
6363 Woodway Dr Suite 1000, Houston, TX 77057Phone Number
(713) 819-8980Established
Texas since 01/15/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (18 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAGE PARTNERS LTD. | SOLE MEMBER | — |
| BINET, TODD M. | MANAGER, REGISTERED PRINCIPAL | — |
| MILLER, DAVID SUTTON | MANAGER, REGISTERED PRINCIPAL | 2097046 |
| MORIN, PETER B. | MANAGER, REGISTERED PRINCIPAL | — |
| WALTON, H. STEVEN | MANAGER, REGISTERED PRINCIPAL | — |
| WILSON, WILLIAM HOWARD JR | MANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL | — |
| WILSON, WILLIAM HOWARD JR | DESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER | 1430161 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/14/2026)
(4/14/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1998SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ellen B Bailey's CRS (Customer Relationship Summary).
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