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George E. Bailey

ANDES CAPITAL GROUP
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 840641
GB

Professional summary

George Eldridge Bailey III, who also goes by George Eldridge Bailey, is a registered financial professional currently at ANDES CAPITAL GROUP, LLC located in Chicago, Illinois.

George is registered as a RR (Registered Representative) and started their career in finance in 1977. George has worked at 12 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Eldridge 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 George Eldridge Bailey III'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

May 15, 2024 - Present

ANDES CAPITAL GROUP, LLC

Office #1: 205 West Wacker Drive Suite 610, Chicago, IL 60606
BD
CRD#: 139212
Chicago, IL
Past

May 13, 2008 - November 11, 2008

SANDERS MORRIS LLC

BD
CRD#: 20580
BOCA RATON, FL
Past

December 5, 2002 - April 20, 2006

BROADPOINT DESCAP

BD
CRD#: 14997
NEW YORK, NY
Past

April 23, 2002 - December 13, 2002

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

February 12, 2002 - April 25, 2002

REVA CAPITAL MARKETS LLC

BD
CRD#: 105791
NEW YORK, NY
Past

January 29, 1997 - January 18, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 2, 1994 - February 25, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 11, 1990 - January 26, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

April 12, 1990 - December 14, 1990

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 15, 1989 - March 3, 1990

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

BD
CRD#: 19727
Past

April 14, 1986 - March 3, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

January 31, 1980 - April 22, 1986

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

July 26, 1977 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640

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
Florida
(5/15/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/22/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/15/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/27/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ANDES CAPITAL GROUP, LLC
ANDES CAPITAL GROUP, LLC

CRD#: 139212 / SEC#: , 8-67202

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

Main Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Mailing Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Phone number
(312) 376-4500
Established
Illinois since 08/03/2004
Firm type
Limited Liability Company
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#
POOLE, SEAN WILLIAMMEMBER7010269
MCGAUGH, RAYMOND SCOTTMEMBER2649886
SPEARS, CURTIS LAVELLPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER4117812
LENART, BRIAN DOUGLASFINOP, CFO, PFO/POO736107
PEARLMAN, CRAIG ALANPRINCIPAL4456956

Disclosures

Regulatory Event2

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

ANDES CAPITAL GROUP, LLC

CRD#: 139212Chicago, IL 60606

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