Kenneth R. 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.
Kenneth Ray Bailey, who also goes by Ken Ray Bailey, Kenny Ray Bailey, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2005. Kenneth had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
May 7, 2012 - November 14, 2025
CAPE INVESTMENT ADVISORY, INC.
March 17, 2011 - April 1, 2026
CAPE SECURITIES INC.
October 7, 2010 - January 3, 2011
CHASE INVESTMENT SERVICES CORP.
November 28, 2007 - January 3, 2011
CHASE INVESTMENT SERVICES CORP.
April 21, 2006 - November 12, 2007
ITRADEDIRECT.COM CORP
July 6, 2005 - March 8, 2006
J.P. TURNER & COMPANY, L.L.C.
Primary Firm SEC Registration
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
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
CAPE INVESTMENT ADVISORY, INC.
CRD#: 146384 / SEC#: 801-71349
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,769 |
| AUM (Assets Under Management) | $ 402,413,992 |
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.
