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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.

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EB

Ellen B. Bailey

SP SECURITIES
HOUSTON, TX 77057
Some features on this profile are disabled
CRD#: 2815573
EB

Professional summary

Ellen B Bailey, CPWA®, who also goes by Ellen Augusta Brockelman, Ellen Brockelman Bailey, Ellen Bailey, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ellen Augusta Brockelman | Ellen Brockelman Bailey | Ellen 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ellen B 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®
CPWA®

Certified Private Wealth Advisor

Start date: 2016-06-09

Expire date: 2024-04-30

Experience

Current

April 14, 2026 - Present

SP SECURITIES LLC

Office #1: 6363 Woodway Dr Suite 1000, Houston, TX 77057
BD
CRD#: 130560
HOUSTON, TX
Past

April 15, 2024 - May 3, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
NEW YORK, NY
Past

April 15, 2024 - May 3, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
NEW YORK, NY
Past

February 24, 2011 - October 4, 2023

MORGAN STANLEY

RIA
CRD#: 149777
Purchase, NY
Past

June 1, 2009 - October 4, 2023

MORGAN STANLEY

BD
CRD#: 149777
Purchase, NY
Past

April 25, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PURCHASE, NY
Past

August 11, 2006 - May 5, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
WACCABUC, NY
Past

December 24, 1996 - May 5, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
WACCABUC, 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
New York
(4/14/2026)
RR
Texas
(4/14/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/24/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/27/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/17/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/25/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

SS
SP SECURITIES LLC
SP SECURITIES LLC

CRD#: 130560 / SEC#: , 8-66360

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
6363 Woodway Dr Suite 1000, Houston, TX 77057
Mailing Address
6363 Woodway Dr Suite 1000, Houston, TX 77057
Phone number
(713) 819-8980
Established
Texas since 01/15/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SAGE PARTNERS LTD.SOLE MEMBER
BINET, TODD M.MANAGER, REGISTERED PRINCIPAL
MILLER, DAVID SUTTONMANAGER, REGISTERED PRINCIPAL2097046
MORIN, PETER B.MANAGER, REGISTERED PRINCIPAL
WALTON, H. STEVENMANAGER, REGISTERED PRINCIPAL
WILSON, WILLIAM HOWARD JRMANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL
WILSON, WILLIAM HOWARD JRDESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER1430161

Disclosures

Regulatory Event1

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

SP SECURITIES LLC

CRD#: 130560Houston, TX 77057

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