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RN

Richard Nealy

BAILEY & CO. SECURITIES
BRENTWOOD, TN 37027
Some features on this profile are disabled
CRD#: 6825654
RN
Richard NealyBAILEY & CO. SECURITIES

Professional summary

Richard Nealy, who also goes by Richard Wesley Nealy, is a registered financial professional currently at BAILEY & CO. SECURITIES, LLC located in Brentwood, Tennessee.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2017. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 50 and Series 52 exams.

Aliases

Richard Wesley Nealy

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 Richard Nealy'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

August 7, 2026 - Present

BAILEY & CO. SECURITIES, LLC

Office #1: 5511 Virginia Way Suite 200, Brentwood, TN 37027
BD
CRD#: 302015
BRENTWOOD, TN
Past

June 12, 2025 - August 11, 2025

HARRIS WILLIAMS

BD
CRD#: 113930
RICHMOND, VA
Past

February 4, 2021 - July 24, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
NASHVILLE, TN
Past

February 4, 2021 - July 24, 2024

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NASHVILLE, TN
Past

May 6, 2019 - December 24, 2020

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
NASHVILLE, TN
Past

September 15, 2017 - December 24, 2020

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NASHVILLE, TN

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
Tennessee
(8/10/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/18/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/15/2017
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 50
Date: 4/20/2018
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 52
Date: 9/15/2017
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

B&
BAILEY & CO. SECURITIES, LLC
BAILEY & CO. SECURITIES, LLC | BSC SECURITIES, LLC

CRD#: 302015 / SEC#: , 8-70458

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

Main Address
5511 Virginia Way Suite 200, Brentwood, TN 37027
Mailing Address
5511 Virginia Way Suite 200, Brentwood, TN 37027
Phone number
(215) 694-5054
Established
Tennessee since 04/12/2019
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
BAILEY & COMPANY PARENT, LLCPARENT COMPANY/100 OWNER
BAILEY, JEFFREY LAWRENCEMANAGING DIRECTOR/EXECUTIVE REPRESENTATIVE3171436
BAILEY, JOHN JAMES IIIMANAGING DIRECTOR/PRINCIPAL5708044
INGRAHAM, FRANK TODDCHIEF COMPLIANCE OFFICER2918519
SERRA, CARL ANTHONY IIIFINOP3179039

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

BAILEY & CO. SECURITIES, LLC

CRD#: 302015Brentwood, TN 37027

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