Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Bailey is an investment advisor representative who has been in the industry since 1991. Currently, Douglas is registered with RBC Capital Markets, LLC, and is licensed to operate in California and Texas. Prior to joining RBC Capital Markets, LLC, Douglas was an investment advisor representative at Sutro & Co. Incorporated, Prudential Securities Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and First Choice Securities Corp. Douglas holds licenses for Series 3, 7, 8, 9, 10, 63, and 65 securities exams. Douglas Bailey is an active member of the Boys and Girls Club of Cypress. Douglas specializes in providing financial planning services to individuals and businesses and portfolio management for businesses and pooled investment vehicles.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
12/17/2015 - Present
RBC Capital Markets, LLC (SEAL BEACH CA)
CA
02/09/2001 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
07/28/1994 - 02/14/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
06/25/1991 - 08/02/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
01/01/1991 - 02/01/1991
FIRST CHOICE SECURITIES CORP.
IA
Issued 10/27/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/21/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/26/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/1998
Series 3 - National Commodity Futures Examination
BC
Issued 12/27/1990
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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