CB
Conrad J. Bailey
CETERA INVESTMENT ADVISERS LLC
SPRING HILL, FL 34609
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CRD#: 4661921
CB
Professional summary
Conrad Joseph Bailey is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Spring Hill, Florida and CETERA FINANCIAL SPECIALISTS LLC located in Spring Hill, Florida.
Conrad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Conrad has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) SABALI HOMES LLC; SPRING HILL, FL; NON-INVESTMENT RELATED; BUY/FIX UP REAL ESTATE FOR RENT/RE-SALE; OWNER; SINCE 03/2017; 4 HRS/MO 2) QUICKEN; SPRING HILL, FL; NON-INVESTMENT RELATED; MORTGAGE LOAN ORIGINATOR; SINCE 02/2020; 2 HRS/MO 3) USA BENEFITS GROUP; SPRING HILL; FL; NON-INVESTMENT RELATED; HEALTH INSURANCE SALES; SINCE 10/2023; 2 HRS/MO 4) FAIRWAY MORTGAGE; SPRING HILL, FL; NON-INVESTMENT RELATED; SALES REFERRAL AGENT SINCE 10/2023; 2 HRS/MO 5) BAILEY AND ASSOCIATES MARKETING; SPRING HILL, FL; NON-INVESTMENT RELATED; REFERRAL AGENT; SINCE 10/2020; 2 HRS/MO 6) POWUR; SPRING HILL, FL; NON-INVESTMENT RELATED; REFERRAL AGENT FOR ROOFTOP SOLAR; SINCE 02/2020; 2 HRS/MO 7) PREPAID LEGAL; SPRING HILL, FL; NON-INVESTMENT RELATED; SALES REP; SINCE 02/2004; 2 HRS/MO 8) USA WEALTH RETIREMENT ADVISORS; SPRING HILL, FL; INVESTMENT RELATED; DBA FOR FINANCIAL SERVICES; WEALTH MANAGEMENT PROFESSIONAL; OWNER; SINCE 01/2024; 160 HRS/MO
CRS (Client Relationship Summary) - RIA
Click below to view Conrad Joseph Bailey's CRS (Customer Relationship Summary).
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
Current
January 24, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5141 Mariner Blvd A Unit 3, Ste G, Spring Hill, FL 34609RIA
CRD#: 105644
SPRING HILL, FL
Current
January 22, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 5141 Mariner Blvd A Unit 3, Ste G, Spring Hill, FL 34609BD
CRD#: 10358
SPRING HILL, FL
Past
September 28, 2011 - January 22, 2024
PFS INVESTMENTS INC.
RIA
CRD#: 10111
SPRING HILL, FL
Past
September 4, 2003 - January 22, 2024
PFS INVESTMENTS INC.
BD
CRD#: 10111
SPRING HILL, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/23/2024)
RR
District of Columbia(1/26/2024)
RR
Florida(1/23/2024)
IAR
Florida(1/24/2024)
RR
Michigan(1/24/2024)
RR
Minnesota(1/23/2024)
RR
New York(1/23/2024)
RR
Ohio(1/22/2024)
RR
Virginia(1/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Spring Hill, FL 34609TRUST BUT VERIFY
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