Amanda J. Bailey
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.
Amanda Jayne Bailey, who also goes by Amanda J Bailey, Amanda Jayne Hawkins, Mandy Jayne Hawkins, was a registered financial professional .
Amanda is a previously registered financial professional and started their career in finance in 2000. Amanda had worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2022 - December 22, 2022
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
August 3, 2022 - December 22, 2022
TCBI SECURITIES, INC.
May 16, 2013 - January 5, 2022
BBVA SECURITIES INC.
January 23, 2012 - November 12, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
April 18, 2008 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 14, 2006 - March 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 11, 2006 - March 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2000 - March 14, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - December 5, 2006
WELLS FARGO INVESTMENTS, LLC
June 20, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 31, 2000 - May 7, 2001
WELLS FARGO SECURITIES INC.
Primary Firm SEC Registration
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,982 |
| AUM (Assets Under Management) | $ 3,471,701,060 |
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.
