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Dennis Richard Bailey

Cetera Investment Services LLC

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About Dennis Richard Bailey

Dennis Richard Bailey has been working in the financial industry since November 13, 1999. Currently, Dennis Richard Bailey is registered with Cetera Investment Services LLC. Dennis Richard Bailey has been with Cetera Investment Services LLC since July 20, 2018. Previously, Dennis Richard Bailey was registered with Money Concepts Capital Corp, Allstate Financial Services, LLC, Edward Jones and SunAmerica Securities, Inc. Dennis Richard Bailey is a licensed securities professional in the state of South Carolina and North Carolina.

Firm Information

Dennis Bailey is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

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.

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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Dennis Bailey’s Registration & Firm History

SC

07/20/2018 - Present

Cetera Investment Services LLC (MT PLEASANT SC)

SC

10/21/2010 - 07/23/2018

MONEY CONCEPTS CAPITAL CORP (SUMMERVILLE SC)

SC

02/02/2004 - 07/29/2010

ALLSTATE FINANCIAL SERVICES, LLC (SUMMERVILLE SC)

MO

07/17/2001 - 12/09/2003

EDWARD JONES (ST. LOUIS MO)

NA

06/18/1989 - 12/31/1989

SUNAMERICA SECURITIES, INC.

NA

12/15/1987 - 06/18/1989

SOUTHMARK FINANCIAL SERVICES, INC.

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Licenses & Designations

BC

Issued 07/19/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/16/2001

Series 7 - General Securities Representative Examination

BC

Issued 12/14/1987

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dennis Richard Bailey.
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