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Ashley N. Bailey

Some features on this profile are disabled
CRD#: 6788197
AB

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.

Ashley Nicole Bailey, who also goes by Ashley Bailey, was a registered financial professional .

Ashley is a previously registered financial professional and started their career in finance in 2017. Ashley had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ashley 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 17, 2022 - February 2, 2026

ETORO USA SECURITIES INC.

BD
CRD#: 298361
Hoboken, NJ
Past

April 23, 2021 - February 15, 2022

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

June 14, 2018 - April 20, 2021

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
Charlotte, NC
Past

July 20, 2017 - April 23, 2018

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/2017
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: 7/20/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/31/2020
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/12/2019
General Securities Principal Examination

Current Firm

EU
ETORO USA SECURITIES INC.
ETORO USA SECURITIES INC.

CRD#: 298361 / SEC#: , 8-70212

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

Main Address
221 River Street 9th Floor, Hoboken, NJ 07030
Mailing Address
221 River Street 9th Floor, Hoboken, NJ 07030
Phone number
+1 (201) 479-0267
Established
Delaware since 07/20/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
ETORO US TRADING LLCSHAREHOLDER
BEN-SIMON, TAL DAVIDDIRECTOR7994172
BIRON, ZIVDIRECTOR7306620
DIMAGGIO, CHARLIE FFINOP6023789
INBAR, SHIRAZDIRECTOR8182973
MCCORMICK, ANDREW MICHAELCEO/HEAD OF US/ PRESIDENT/ DIRECTOR6706923
MURPHY, NICOLE SUZANNECCO/DIRECTOR5461537
TENNEKOON, ALAINUS HEAD OF OPERATIONS AND SERVICE5296665

Disclosures

Regulatory Event1

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.

Company Information

ETORO USA SECURITIES INC.

CRD#: 298361

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