Benjamin W. 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.
Benjamin Wyan Bailey, who also goes by Benjamin Bailey, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2004. Benjamin had worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2015 - September 5, 2017
CUNA BROKERAGE SERVICES, INC.
July 20, 2015 - September 5, 2017
CUNA BROKERAGE SERVICES, INC.
December 2, 2013 - May 19, 2015
CUSO FINANCIAL SERVICES, L.P.
August 26, 2013 - May 19, 2015
CUSO FINANCIAL SERVICES, L.P.
April 24, 2009 - August 27, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 2009 - August 27, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
January 13, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
January 12, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
January 6, 2004 - January 13, 2006
MORGAN STANLEY DW INC.
January 5, 2004 - January 13, 2006
MORGAN STANLEY DW INC.
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
