Christopher David Bailey
Professional Summary
Christopher David Bailey is a registered financial advisor currently at MUTUAL OF AMERICA SECURITIES LLC located in Providence, Rhode Island. Christopher is registered as a RR (Registered Representative) and started their career in finance in 2002. Christopher has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC
Contact Information
Main Address
320 Park Avenue, New York, NY 10022Mailing Address
320 Park Avenue, New York, NY 10022-3869Phone Number
(212) 224-1600Established
Delaware since 06/29/1990Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | — |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| ELLIS, KYLE ANDREW | VICE PRESIDENT AND DEPUTY CHIEF COMPLIANCE OFFICER | 6120765 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(3/16/2005)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2002About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 2015About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Christopher David Bailey's CRS (Customer Relationship Summary).
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