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KB

Kristine A. Bailey

APW CAPITAL
Portsmouth, NH 03801
Some features on this profile are disabled
CRD#: 5450722
KB

Professional summary

Kristine Ann Bailey, who also goes by Kristine A Bailey Ms, Kristine Bailey, is a registered financial professional currently at APW CAPITAL, INC. located in Portsmouth, New Hampshire.

Kristine is registered as a RR (Registered Representative) and started their career in finance in 2011. Kristine has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kristine A Bailey Ms | Kristine Bailey

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 Kristine 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®
None

Experience

Current

August 9, 2021 - Present

APW CAPITAL, INC.

Office #1: One Harbour Place Nh Suite 305, Portsmouth, NH 03801
BD
CRD#: 43814
Portsmouth, NH
Past

September 15, 2014 - June 23, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PORTSMOUTH, NH
Past

June 10, 2013 - June 23, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PORTSMOUTH, NH
Past

August 12, 2011 - May 24, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
PORTSMOUTH, NH

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
New Hampshire
(8/9/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/27/2013
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: 8/11/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
APW CAPITAL, INC.
APW CAPITAL, INC. | COMPREHENSIVE ASSET MANAGEMENT AND SERVICING, INC.

CRD#: 43814 / SEC#: , 8-50433

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

Main Address
100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
Mailing Address
100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
Phone number
(973) 394-0404
Established
New Jersey since 07/03/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SMITH, TIMOTHY LIAMPRESIDENT & FINOP1407004
JENNINGS, CHRISTINASHAREHOLDER4360546
COUTANT, TONYA MARIECHIEF COMPLIANCE OFFICER4585494
JENNINGS, SEANSHAREHOLDER

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

APW CAPITAL, INC.

CRD#: 43814Portsmouth, NH 03801

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