Bart N. 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.
Bart Nelson Bailey, CFP® was a registered financial professional .
Bart is a previously registered financial professional and started their career in finance in 2011. Bart had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2019 - July 31, 2019
WIPFLI FINANCIAL ADVISORS, LLC
January 18, 2019 - April 1, 2019
GUNDERSON CAPITAL MANAGEMENT
July 13, 2018 - November 20, 2018
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 24, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
October 3, 2016 - November 16, 2018
FIDELITY BROKERAGE SERVICES LLC
February 6, 2014 - June 10, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 23, 2011 - June 10, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
WIPFLI FINANCIAL ADVISORS, LLC
CRD#: 109983 / SEC#: 801-56865
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 9,010 |
| AUM (Assets Under Management) | $ 5,066,337,996 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/23/2022 | ||
| 01/13/2022 |
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.
