AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SB

Sandra A. Bailey

CETERA INVESTMENT ADVISERS LLC
SOUTH PORTLAND, ME 04116
Some features on this profile are disabled
CRD#: 4762808
SB

Professional summary

Sandra Ann Bailey, CFP®, who also goes by Sandra Ann Gushue, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in South Portland, Maine and CETERA INVESTMENT SERVICES LLC located in South Portland, Maine.

Sandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Sandra has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sandra Ann Gushue

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. NOTARY SERVICES FOR EXISTING CETERA CLIENTS; DOES NOT NOTARIZE FIRM RELATED DOCUMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandra Ann Bailey's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2010

Experience

Current

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 601 Broadway, South Portland, ME 04116
RIA
CRD#: 105644
SOUTH PORTLAND, ME
Current

March 18, 2010 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 601 Broadway, South Portland, ME 04106
BD
CRD#: 15340
South Portland, ME
Past

March 18, 2010 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
SOUTH PORTLAND, ME
Past

November 17, 2009 - February 18, 2010

TD WEALTH MANAGEMENT SERVICES INC.

RIA
CRD#: 6940
SOUTH PORTLAND, ME
Past

November 17, 2009 - February 18, 2010

TD WEALTH MANAGEMENT SERVICES INC.

BD
CRD#: 6940
SOUTH PORTLAND, ME
Past

July 3, 2007 - November 17, 2009

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
PORTLAND, ME
Past

January 1, 2005 - November 17, 2009

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
PORTLAND, ME
Past

February 20, 2004 - January 1, 2005

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN

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
Alabama
(3/4/2024)
RR
Delaware
(8/17/2020)
RR
Florida
(3/18/2010)
RR
Georgia
(3/8/2013)
RR
Maine
(3/18/2010)
IAR
Maine
(1/21/2014)
RR
Maryland
(4/11/2016)
RR
Massachusetts
(5/26/2010)
RR
New Hampshire
(9/27/2013)
RR
New Jersey
(11/15/2024)
RR
New York
(1/15/2021)
RR
North Carolina
(1/8/2013)
RR
Rhode Island
(9/14/2020)
RR
South Carolina
(11/28/2023)
RR
Vermont
(5/13/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/28/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/13/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/12/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/19/2004
Investment Company Products/Variable Contracts Representative Examination
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644South Portland, ME 04116

TRUST BUT VERIFY

Monitor Sandra Bailey

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Diana London
Diana LondonAdvisorCheck Check Mark
PFS INVESTMENTS INC.
IAR
RR
Windham, ME
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics