TB
Troy R. Baily
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CRD#: 4458930
TB
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.
Troy Robert Baily, who also goes by Troy R Baily, was a registered financial advisor .
Troy is a previously registered financial advisor and started their career in finance in 2001. Troy had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 22, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Troy R Baily
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.
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®
NoneExperience
Past
November 8, 2016 - March 8, 2018
OSAIC SERVICES, INC.
BD
CRD#: 133763
OMAHA, NE
Past
May 6, 2014 - September 2, 2014
OSAIC SERVICES, INC.
RIA
CRD#: 133763
OMAHA, NE
Past
April 28, 2014 - September 2, 2014
OSAIC SERVICES, INC.
BD
CRD#: 133763
OMAHA, NE
Past
December 19, 2012 - April 7, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
OMAHA, NE
Past
December 13, 2012 - April 7, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
OMAHA, NE
Past
April 2, 2012 - December 19, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
OMAHA, NE
Past
March 21, 2012 - December 19, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
OMAHA, NE
Past
April 5, 2011 - December 31, 2011
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
LINCOLN, NE
Past
April 1, 2011 - December 31, 2011
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
January 14, 2011 - March 24, 2011
VISION INVESTMENT ADVISORS, LLC
RIA
CRD#: 109621
OMAHA, NE
Past
January 19, 2010 - March 24, 2011
VISION BROKERAGE SERVICES, LLC
BD
CRD#: 47927
STAMFORD, CT
Past
August 6, 2009 - January 15, 2010
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
OMAHA, NE
Past
June 19, 2009 - January 15, 2010
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
OMAHA, NE
Past
January 12, 2004 - July 2, 2009
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
OMAHA, NE
Past
January 6, 2004 - July 2, 2009
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
OMAHA, NE
Past
October 14, 2003 - December 31, 2003
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
COLUMBIA, MO
Past
December 10, 2001 - December 31, 2003
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 3/17/2006
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Current Firm
OS
OSAIC SERVICES, INC.
1ST PALMETTO ADVISORS | PILLAR FINANCIAL GROUP | PETER GOODWIN PERSONAL WEALTH MANAGEMENT | PEGASUS FINANCIAL GROUP | PARKE AVENUE INVESTMENTS | PARK AVENUE INVESTMENTS, WEALTH STRATEGIES | PANTO WEALTH STRATEGIES | PALFINI FINANCIAL | OSAIC SERVICES, INC. | OREGON PLANNERS | OAKLEAF CAPITAL PARTNERS | OAK FINANCIAL ADVISORS | NORTHSTAR ASSOCIATES | NORTH MAIN FINANCIAL GROUP | NORLAKES FINANCIAL SERVICES | NEST FINANCIAL | NBS FINANCIAL GROUP | NAVIGATOR FINANCIAL GROUP | NACCARATO FINANCIAL GROUP | MYERS & INKROTT FINANCIAL GROUP | MY WEALTH DOCTOR | MSL CAPITAL MANAGEMENT | MOSAIC WEALTH SOLUTIONS | MONARCH WEALTH AND RETIREMENT STRATEGIES | MONARCH WEALTH & RETIREMENT STRATEGIES | MIDAMERICA FINANCIAL GROUP | MARK S LALIN AND ASSOCIATES | MANDY MONEY | MAIN STREET ADVISORS | M.R. MILLER FINANCIAL | LUTZ WEALTH ADVISORS | LUCERO FINANCIAL PLANNING | LIVING TREE FINANCIAL CONSULTING | LINEBERRY GROUP | LIFELONG FINANCIAL PLANNING | LIFECRAFT FINANCIAL GROUP | LIBERTY FINANCIAL ASSOCIATES | LEWIS AND PALMER FINANCIAL SOLUTIONS GROUP | LEGACY FINANCIAL PLANNING | LEGACY FINANCIAL ADVISORS, INC. | LEGACY FINANCIAL ADVISORS | LAWRENCE WEALTH MANAGEMENT | LACHICOTTE, INC. | KRAUSE INVESTMENT ADVISORY GROUP, LLC - PAUL R. KRAUSE | KND FINANCIAL | KARP FINANCIAL STRATEGIES | JSTEPHENS WEALTH MANAGEMENT | JP GLOBAL FINANCIAL SERVICES | JAMES C. PROTIGAL | J.S. HOLLAND & CO., INC | ISYS FINANCIAL MANAGEMENT | IQON WEALTH MANAGEMENT | INVESTONE RETIREMENT SPECIALISTS | INVESTMENT CONCEPTS, INC. | INTEGRATED RETIREMENT CONCEPTS | INTEGRATED FINANCIAL CONCEPTS | INKROTT FINANCIAL SERVICES | INKROTT FINANCIAL GROUP | INCOME AND WEALTH ADVISORS AND ASSOCIATES | IMPAC WEALTH SOLUTIONS | ICM HOLISTIC WEALTH SERVICES | HOMANS WEALTH MANAGEMENT | HILL FINANCIAL GROUP | HILL & ASSOCIATES | HIGH POINT CAPITAL PARTNERS | HIGH POINT CAPITAL GROUP | HEYMAN INVESTMENT INC | HERITAGE INVESTMENTS HINDE ASSET MANAGEMENT | HEIGHTS FINANCIAL | HEDBERG WEALTH MANAGEMENT | HAVEN FINANCIAL GROUP | HARMONY FINANCIAL SERVICES | HARMAN WEALTH MANAGEMENT INC | HALE FINANCIAL PLANNING GROUP | GUARDIAN ROCK WEALTH | GRUCZ FINANCIAL | GREENVILLE FINANCIAL GROUP | GRAY HAWK FINANCIAL SERVICES | GRANITE VISTA FINANCIAL | GMBP WEALTH MANAGEMENT | GLOBAL CAPITAL MANAGEMENT | GIGUERE FINANCIAL SERVICES | GEN2 FINANCIAL | FOREST HILLS WEALTH | FOCUS POINT PLANNING | FOCAL POINT FINANCIAL | FLATHERS WEALTH MANAGEMENT | FISCHER CHRISTOFF BARTMESS ADVISORS | FINANCIAL POINTE | FINANCIAL FREEDOM GROUP | FIDUCIARY FIRST | EXCELSIOR WEALTH PARTNERS | EVERGREEN WEALTH MANAGEMENT | ESTATE & FINANCIAL CONSULTANTS | ESCOBAR FINANCIAL | EMERALD FINANCIAL ADVISORS | EAGLE RETIREMENT GROUP | DORAL ASSET MANAGERS INC. | DOMINION EAGLE ADVISOR GROUP | DICOLA FINANCIAL SERVICES MKT NAME | DAVIS FINANCIAL GROUP | DAKOTA LEGACY FINANCIAL | CURTIN WEALTH MANAGEMENT | CURRENT FINANCIAL | COVENANT CAPITAL ADVISORS | COMPREHENSIVE FINANCIAL SERVICES | COMMON INTERESTS | COMMON GOAL FINANCIAL | COLE FINANCIAL | COFFMAN WEALTH MANAGEMENT | CODA FINANCIAL GROUP, INC. | CFS INTEGRATED FINANCIAL SERVICES | CFS ADVISOR TEAM | CATAMOUNT WEALTH ADVISORY | CARMICHAEL FINANCIAL ADVISORS | CAMPER FINANCIAL GROUP | BRAZIER HINZ & ASSOCIATES | BICE WEALTH MANAGEMENT | BGA RETIREMENT ADVISORS | BGA FINANCIAL | BETANCOURT FINANCIAL SERVICES | BCF WEALTH STRATEGIES | BAXTER & ASSOCIATES, INC. | BAUMOEL & GOODMAN FINANCIAL STRATEGIES | BALTHAZOR & STRUBE FINANCIAL & INSURANCE SERVICES | BAKER STREET FINANCIAL SERVICES, LLC | B.E.S. FINANCIAL | AUSTIN MANNING WEALTH MANAGEMENT | ASTOR FINANCIAL GROUP | ASSET WEALTH MANAGEMENT SERVICES, INC. | ASSET PLANNING & MANAGEMENT | ARUCA FINANCIAL | ANGELA MARTIN FINANCIAL | ANCHOR WEALTH MANAGEMENT INC. | AMS FINANCIAL GROUP | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN FINANCIAL ASSOCIATES | ALPHA RISING WEALTH MANAGEMENT | ALPHA ADVISING | ALLIED WEALTH MANAGEMENT LLC | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | AIG FINANCIAL ADVISORS, INC. | ADVENT FINANCIAL SERVICES | AD ASTRA FINANCIAL GROUP | A. RANDALL FINANCIAL | A. M. HOERR FINANCIAL...
CRD#: 133763 / SEC#: 801-64721, 8-66771
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18700 Hayden Road Suite 2000, Phoenix, AZ 85012
Mailing Address
18700 Hayden Road Suite 255, Scottsdale, AZ 85255
Phone number
(800) 552-3319
Established
Delaware since 09/10/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3,563
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 86,848 |
| AUM (Assets Under Management) | $ 16,478,907,740 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 11 |
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.
