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RB

Rachel B. Bailey

BARINGS SECURITIES LLC
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 5000562
RB

Professional summary

Rachel B Bailey, who also goes by Rachel L Bailey, Rachel L Barnett, is a registered financial professional currently at BARINGS SECURITIES LLC located in Charlotte, North Carolina.

Rachel is registered as a RR (Registered Representative) and started their career in finance in 2008. Rachel has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rachel L Bailey | Rachel L Barnett

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rachel B 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®
None

Experience

Current

November 3, 2021 - Present

BARINGS SECURITIES LLC

Office #1: 300 S. Tryon Street Suite 2500, Charlotte, NC 28202
BD
CRD#: 36929
CHARLOTTE, NC
Past

November 9, 2012 - November 4, 2021

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
ATLANTA, GA
Past

August 22, 2012 - November 4, 2021

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
ATLANTA, GA
Past

January 30, 2008 - October 25, 2011

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(11/3/2021)
RR
Alaska
(11/3/2021)
RR
Arizona
(11/3/2021)
RR
Arkansas
(11/3/2021)
RR
California
(11/3/2021)
RR
Colorado
(11/3/2021)
RR
Connecticut
(11/3/2021)
RR
Delaware
(11/3/2021)
RR
District of Columbia
(11/3/2021)
RR
Florida
(11/3/2021)
RR
Georgia
(11/3/2021)
RR
Hawaii
(11/3/2021)
RR
Idaho
(11/3/2021)
RR
Illinois
(11/3/2021)
RR
Indiana
(11/3/2021)
RR
Iowa
(11/3/2021)
RR
Kansas
(11/3/2021)
RR
Kentucky
(11/3/2021)
RR
Louisiana
(11/3/2021)
RR
Maine
(11/3/2021)
RR
Maryland
(11/3/2021)
RR
Massachusetts
(11/3/2021)
RR
Michigan
(11/3/2021)
RR
Minnesota
(11/3/2021)
RR
Mississippi
(11/3/2021)
RR
Missouri
(11/3/2021)
RR
Montana
(11/3/2021)
RR
Nebraska
(11/3/2021)
RR
Nevada
(11/3/2021)
RR
New Hampshire
(11/3/2021)
RR
New Jersey
(11/3/2021)
RR
New Mexico
(11/3/2021)
RR
New York
(11/3/2021)
RR
North Carolina
(11/3/2021)
RR
North Dakota
(11/3/2021)
RR
Ohio
(11/3/2021)
RR
Oklahoma
(11/3/2021)
RR
Oregon
(11/3/2021)
RR
Pennsylvania
(11/3/2021)
RR
Rhode Island
(11/3/2021)
RR
South Carolina
(11/3/2021)
RR
South Dakota
(11/3/2021)
RR
Tennessee
(11/3/2021)
RR
Texas
(11/3/2021)
RR
Utah
(11/3/2021)
RR
Vermont
(11/3/2021)
RR
Virginia
(11/3/2021)
RR
Washington
(11/3/2021)
RR
West Virginia
(11/3/2021)
RR
Wisconsin
(11/3/2021)
RR
Wyoming
(11/3/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/8/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/15/2008
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 31
Date: 8/26/2013
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BARINGS SECURITIES LLC
BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC

CRD#: 36929 / SEC#: , 8-47589

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Mailing Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Phone number
(704) 805-7200
Established
Delaware since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BARINGS LLCDIRECT OWNER106006
DINERMAN, JILL ELYSECLERK AND SECRETARY
FRANCIS, SHELDON MAURICEDIRECTOR
LLOYD, ERIC JAMESPRESIDENT2314965
TAWA, DEREK MICHAELCHIEF COMPLIANCE OFFICER3054098
THOMAS, CHRISTOPHER COLINTREASURER7050594

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

BARINGS SECURITIES LLC

CRD#: 36929Charlotte, NC 28202

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