Richard D. 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.
Richard Declan Bailey was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 2002. Richard had worked at 6 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2010 - October 7, 2010
NOBLE CAPITAL MARKETS, INC.
December 7, 2007 - April 10, 2008
ZEALOUS CAPITAL MARKETS, LLC.
July 17, 2007 - December 4, 2007
SOURCE CAPITAL GROUP, INC.
October 27, 2006 - December 4, 2007
SOURCE CAPITAL GROUP, INC.
November 10, 2003 - November 29, 2004
KEVIN DANN & PARTNERS, LLC
January 3, 2003 - November 11, 2003
OPPENHEIMER & CO. INC.
January 25, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
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
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| 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.
