Yvonne L. Carr Bailey

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CRD#: 2843218

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Yvonne Lee Carr Bailey, who also goes by Yvonne Lee Bailey, Yvonne Lee Carr, Yvonne Carr Bailey, was a registered financial professional .

Yvonne is a previously registered financial professional and started their career in finance in 1997. Yvonne had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Yvonne Lee Bailey | Yvonne Lee Carr | Yvonne Carr 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 29, 2014 - June 5, 2019

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

CINCINNATI, OH

Past

September 21, 2005 - June 5, 2019

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

August 17, 2005 - September 21, 2005

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

February 7, 1997 - February 11, 2005

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 6/27/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/27/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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Contact information

Main Address

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Yvonne L. Carr Bailey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MISSIONSQUARE INVESTMENT SERVICES

PFS INVESTMENTS INC.

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/27/2014

Series 63

Date: 2/10/1997

SIE

Date: 10/1/2018

Series 6

Date: 1/27/1997

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

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