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Tim Hamilton Bailey

CRD# 842828·Registered 1977 - 1988
Previously Registered: Being a previously registered professional could mean that Tim 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.

Professional Summary

Tim Hamilton Bailey was a registered financial advisor. Tim was a previously registered financial professional and started their career in finance 1977 - 1988. Tim had worked at 5 firms and has passed the Series 63, Series 7 and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

49 years in the financial services industry

Current & Past Employments

GREAT LAKES EQUITIES CO.·CRD# 16175
BD
May 12, 1988 - October 24, 1988
SENTRA SECURITIES CORPORATION·CRD# 10249
BD
January 9, 1987 - March 31, 1988
ROBERT THOMAS SECURITIES, INC·CRD# 10147
BD
June 4, 1985 - January 23, 1987
M.L. STERN & CO., LLC.·CRD# 8327
BD
September 24, 1982 - June 10, 1985
MUTUAL OF OMAHA INVESTOR SERVICES, INC.·CRD# 611
BD
September 14, 1977 - January 25, 1983

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Current Firm

GL
GREAT LAKES EQUITIES CO.

GREAT LAKES EQUITIES CO.

CRD#: 16175 / SEC#: 8-33421
BD
Expelled by FINRA on 10/03/1991

Contact Information

Established

Michigan since 11/24/1984

Firm Type

Corporation

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1982About the Series 7 exam

Series 1 — Registered Representative Examination

Passed Sep 1977

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CRS (Client Relationship Summary)

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

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