CB
Charles F. Bailey
CETERA INVESTMENT ADVISERS LLC
MARION, CT
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CRD#: 2940243
CB
Professional summary
Charles Frederick Bailey III, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marion, Connecticut and CETERA WEALTH SERVICES, LLC located in Marion, Connecticut.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) BEACON WEALTHCARE SERVICES, INC POSITION: PRESIDENT NATURE: Financial servics INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2003 ADDRESS: Rocky Hill CT , United States DESCRIPTION: Provide financial services to clients 2) CONRAD TURMELLE IRRV TRUST POSITION: CO-TRUSTEE NATURE: TRUST INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 ADDRESS: Rocky Hill CT , United States DESCRIPTION: Duties as stated under terms of trust. 3) CHARLES BAILEY & ASSOCIATES, LLC POSITION: CPA NATURE: CPA firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/2005 DESCRIPTION: CPA firm
CRS (Client Relationship Summary) - RIA
Click below to view Charles Frederick Bailey III'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®
CFP®
Start date: 2002
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 750 Old Main Street Suite 304, Rocky Hill, CT 06067RIA
CRD#: 105644
MARION, CT
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 750 Old Main Street Suite 303, Rocky Hill, CT 06067BD
CRD#: 13572
MARION, CT
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
ROCKY HILL, CT
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ROCKY HILL, CT
Past
September 12, 2000 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
ROCKY HILL, CT
Past
November 3, 1997 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
ROCKY HILL, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
California(9/5/2025)
RR
Connecticut(9/5/2025)
IAR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Illinois(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Vermont(10/1/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
