Christopher D. Bailey
Professional summary
Christopher David Bailey is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher David Bailey's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2005 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 500 Exchange Street Suite 9-200, Providence, RI 02903-2630Office #2: 320 Park Avenue, New York, NY 10022March 16, 2005 - November 23, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
April 30, 2004 - February 25, 2005
GUARDIAN INVESTOR SERVICES LLC
December 20, 2002 - March 22, 2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/16/2005)
Exams
Series 99TO
Date: 9/4/2024
Operations Professional ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 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 |
| 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 |
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.
Company Information
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878Providence, RI 02903-2630TRUST BUT VERIFY
Monitor Christopher Bailey
Get automatic monthly alerts on:
