Eric T. 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.
Eric Thomas Bailey was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2019. Eric had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2021 - September 27, 2021
JAVCAP SECURITIES LLC
August 19, 2019 - April 6, 2021
HOULIHAN LOKEY CAPITAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 8/21/2019
General Securities Representative ExaminationSeries 79TO
Date: 8/12/2019
Investment Banking Registered Representative ExaminationCurrent Firm
JAVCAP SECURITIES LLC
CRD#: 142174 / SEC#: , 8-67435
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
