Benjamin G. Bailey

SMITH SALLEY WEALTH MANAGEMENT

Greensboro, NC 27408

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CRD#: 6983175

Professional summary

Benjamin Gordon Bailey, CFP®, who also goes by Ben Bailey, Benjamin Bailey, is a registered financial advisor currently at SMITH SALLEY WEALTH MANAGEMENT located in Greensboro, North Carolina.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Benjamin has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Bailey | Benjamin 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.

INSURANCE; INVESTMENT-RELATED; NORTH CAROLINA; INSURANCE AGENT; 2022; APPROXIMATELY 1 HOUR/MO DURING TRADING HOURS; SALES OF VARIOUS INSURANCE PRODUCTS. INTEGRATED TAX SOLUTIONS; NOT INVESTMENT-RELATED; NORTH CAROLINA; FOUNDER / PARTNER; 2023; APPROXIMATELY 60 HRS/MO, 40 HRS/MO OUTSIDE TRADING HOURS; TAX SOLUTIONS COMPANY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Gordon 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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

April 30, 2024 - Present

SMITH SALLEY WEALTH MANAGEMENT

Office #1: 324 West Wendover Avenue Suite 301, Greensboro, NC 27408

RIA

CRD#: 129614

Greensboro, NC

Past

February 4, 2022 - April 22, 2024

FUND DIRECT ADVISORS INC.

RIA

CRD#: 155363

GREENSBORO, NC

Past

May 4, 2021 - January 3, 2022

BEACON POINTE ADVISORS, LLC

RIA

CRD#: 119290

Greensboro, NC

Past

October 9, 2019 - May 10, 2021

DMJ WEALTH ADVISORS, LLC

RIA

CRD#: 301042

GREENSBORO, NC

Past

September 24, 2018 - June 13, 2019

EDWARD JONES

RIA

CRD#: 250

GREENSBORO, NC

Past

August 28, 2018 - June 13, 2019

EDWARD JONES

CRD#: 250

GREENSBORO, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SMITH SALLEY WEALTH MANAGEMENT

SMITH SALLEY PRIVATE TRUST | SMITH, SALLEY & ASSOCIATES, LLC | SMITH SALLEY WEALTH MANAGEMENT

CRD#: 129614 / SEC#: 801-62538

RIA

Registered Investment Advisory firm - (12/18/2003 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(4/30/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/21/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2018

General Securities Representative Examination

Current Firm

SMITH SALLEY WEALTH MANAGEMENT

SMITH SALLEY PRIVATE TRUST | SMITH, SALLEY & ASSOCIATES, LLC | SMITH SALLEY WEALTH MANAGEMENT

CRD#: 129614 / SEC#: 801-62538

RIA

Registered Investment Advisory firm - (12/18/2003 Approved)

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Contact information

Main Address

324 West Wendover Avenue Suite 301, Greensboro, NC 27408

Mailing Address

Phone number

(336) 379-7556

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMITH, SALLEY & ASSOCIATES, LLC BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	2,791
AUM (Assets Under Management)	$ 2,344,187,985

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.

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Advisor Monitoring

Firm Stability Insights

Benjamin G. Bailey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Gordon Bailey's CRS (Customer Relationship Summary).

Certified licenses

Experience

FUND DIRECT ADVISORS INC.

BEACON POINTE ADVISORS, LLC

DMJ WEALTH ADVISORS, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

SMITH SALLEY WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2018

Current Firm

SMITH SALLEY WEALTH MANAGEMENT

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMITH SALLEY WEALTH MANAGEMENT

TRUST BUT VERIFY

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