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RB

Robert S. Bailey

FROST BROKERAGE SERVICES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 5747304
RB

Professional summary

Robert Street Bailey, who also goes by Bob Bailey, Robert S Bailey, is a registered financial professional currently at FROST BROKERAGE SERVICES, INC. located in Dallas, Texas.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2010. Robert has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Bailey | Robert S 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 Robert Street 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 3, 2023 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 2950 N Harwood, Dallas, TX 75201
BD
CRD#: 17465
Dallas, TX
Past

January 25, 2022 - May 26, 2023

FIRST PALLADIUM, LLC

BD
CRD#: 289822
FORT WAYNE, IN
Past

June 30, 2014 - November 2, 2021

SAYBRUS EQUITY SERVICES, LLC

BD
CRD#: 153319
HARTFORD, CT
Past

November 4, 2011 - July 11, 2014

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
FRISCO, TX
Past

June 28, 2010 - October 19, 2011

NYLIFE SECURITIES LLC

BD
CRD#: 5167
DALLAS, TX

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
Texas
(8/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/2/2010
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 6
Date: 6/25/2010
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FB
FROST BROKERAGE SERVICES, INC.
FROST BROKERAGE SERVICES, INC. | FROST WEALTH MANAGEMENT

CRD#: 17465 / SEC#: , 8-35285

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

Main Address
111 W. Houston Street, San Antonio, TX 78205
Mailing Address
P.o. Box 2538, San Antonio, TX 78299
Phone number
(210) 220-5000
Established
Texas since 03/21/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (48 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#
FROST BANKPARENT COMPANY
REPA, JACK BRANDONCHIEF COMPLIANCE OFFICER2558740
WALSH, CHRISTOPHER SCOTTPRESIDENT / CHIEF OPERATIONS OFFICER2580114

Disclosures

Regulatory Event4
Civil Event1
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

FROST BROKERAGE SERVICES, INC.

CRD#: 17465Dallas, TX 75201

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