Melissa A. Bailey

ASCENSUS INVESTMENT ADVISORS

North Kingstown, RI

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CRD#: 5344190

Professional summary

Melissa A Bailey, who also goes by Melissa A Bailey Miss, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in North Kingstown, Rhode Island and ASCENSUS BROKER DEALER SERVICES, LLC located in Newton, Massachusetts.

Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Melissa has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Melissa A Bailey Miss

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.

Applicant is engaged as a Director of Membership for her local chapter of the Society of Human Resource Management (SHRM). In this position, applicant manages the recruitment and on-boarding for new members to ensure a smooth process. She also provides leadership to membership activities and member engagement/retention measurement and strategies for the chapter. The local chapter of SHRM is located at 100 Metro Center Blvd Warwick, RI 02886. Applicant works approximately 1-2 hours per month in this non-investment related position. Applicant is strictly a volunteer and does not receive any monetary compensation. The hours associated with this activity do not conflict with Ascensus business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa A 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

October 25, 2022 - Present

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

North Kingstown, RI

Current

June 15, 2016 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 95 Wells Avenue Suite 160, Newton, MA 02459

CRD#: 36478

Newton, MA

Past

May 1, 2010 - June 6, 2016

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

May 1, 2010 - June 6, 2016

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

February 24, 2009 - May 1, 2010

BOFA ADVISORS, LLC

RIA

CRD#: 107900

BOSTON, MA

Past

June 20, 2007 - May 1, 2010

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

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".

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 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.

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

IAR

Massachusetts
(10/25/2022)

Rhode Island
(6/15/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/23/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/10/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/14/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/19/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

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Contact information

Main Address

95 Wells Avenue Suite 160, Newton, MA 02459

Mailing Address

Phone number

(617) 454-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 11,649,896,048

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2024	Cover Page	Report
01/30/2024	Cover Page	Report
01/26/2023	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.

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Melissa A. Bailey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melissa A Bailey's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS BROKER DEALER SERVICES, LLC

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BOFA ADVISORS, LLC

BOFA DISTRIBUTORS, INC.

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2009

Series 63

Date: 7/10/2007

SIE

Date: 10/1/2018

Series 7

Date: 1/14/2009

Series 6

Date: 6/19/2007

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASCENSUS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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