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David Carter Bailey

Wells Fargo Clearing Services, LLC

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About David Carter Bailey

David Carter Bailey has been in the financial services industry since September 25, 1986. David is currently a Registered Representative at Wells Fargo Clearing Services, LLC and is registered with the state of Florida to provide investment advisory services. David has held previous positions at Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Banc of America Investment Services, Inc., and NationsSecurities. David is also a licensed driver for Lyft Taxi, a non-investment related business. David holds licenses Series 3, 4, 7, 24, 31, 53, 63, and 65.

Firm Information

David Bailey is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Bailey’s Registration & Firm History

FL

02/27/2012 - Present

Wells Fargo Clearing Services, LLC (ORLANDO FL)

FL

06/01/2009 - 03/23/2012

MORGAN STANLEY SMITH BARNEY (WINTER PARK FL)

FL

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (WINTER PARK FL)

FL

08/25/2000 - 04/02/2007

MORGAN STANLEY DW INC. (WINTER PARK FL)

MA

01/01/1998 - 09/06/2000

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

NA

07/12/1993 - 01/01/1998

NATIONSSECURITIES

NY

09/26/1986 - 07/12/1993

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 12/01/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/02/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/30/1996

Series 53 - Municipal Securities Principal Examination

BC

Issued 12/06/1995

Series 4 - Registered Options Principal Examination

BC

Issued 01/03/1995

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/21/2000

Series 31 - Futures Managed Funds Examination

BC

Issued 11/30/1990

Series 3 - National Commodity Futures Examination

BC

Issued 09/20/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 3 public disclosures for David Carter Bailey. Review regulatory record here.
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