Heather 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.
Heather Bailey, who also goes by Heather Ann Bailey, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2006. Heather had worked at 7 firms and has passed the Series 66, 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
November 28, 2023 - March 31, 2026
ARKADIOS CAPITAL
June 27, 2017 - November 7, 2023
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
February 15, 2013 - May 10, 2016
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 1, 2010 - February 6, 2013
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
May 1, 2010 - February 6, 2013
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 22, 2006 - May 1, 2010
BOFA ADVISORS, LLC
August 2, 2006 - May 1, 2010
BOFA DISTRIBUTORS, 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
ARKADIOS CAPITAL
CRD#: 282710 / SEC#: , 8-69729
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
