Ralph A. 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.
Ralph Andrew Bailey was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 2000. Ralph had worked at 7 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2013 - October 9, 2013
ALAMO CAPITAL
February 14, 2013 - October 9, 2013
ALAMO CAPITAL
October 23, 2012 - January 31, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
October 19, 2012 - January 28, 2013
FIRST ALLIED SECURITIES, INC.
August 12, 2010 - September 26, 2012
PRUCO SECURITIES, LLC.
October 13, 2009 - April 20, 2010
ADVANCED EQUITIES, INC.
August 17, 2009 - April 20, 2010
ADVANCED EQUITIES, INC.
March 29, 2001 - November 5, 2001
TRAUTMAN WASSERMAN & COMPANY, INC.
February 2, 2000 - March 28, 2001
SANDS BROTHERS & CO., LTD.
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
ALAMO CAPITAL
CRD#: 26193 / SEC#: , 8-42293
Contact information
FINRA licenses (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 81,684,700 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
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.
