William Bailey San Diego, California
William Thomas Bailey is a financial advisor employed by UBS Financial Services in San Diego, California. With over 34 years of experience and 2 exams passed, William maintains the following registrations:
William is registered with the SEC as an Investment Advisor, which is defined as someone who is paid to provide advice about securities. Investment advisors can also be paid to manage investment portfolios or offer financial planning services. Other terms commonly used for investment advisors include Investment Advisor Representative (IAR) and Registered Investment Advisor (RIA).
Mr. Bailey is also registered with FINRA as a Broker (sometimes referred to as a broker-dealer registered rep. or RR ). Brokers are the sales personnel who work for larger brokerage firms. These firms (also known as broker-dealers ) are in the business of buying and selling securities such as stocks, bonds, mutual funds and other investment-related products. These firms are also registered with FINRA and can engage in securities transactions on behalf of its customers (as broker) or for its own account (as dealer).
Advisor data current as of May 15, 2017
Fees and Services
Types of fees charged:
- Percentage of Assets
- Hourly Charges
- Fee Only
Advisory services offered:
- Financial Planning
- Portfolio Management for Individuals
- Portfolio Management for Businesses/Institutional
- Securities Portfolio Management
- Selection of Other Advisors
Financial advisors must register with each state in which they conduct business. Below is a record of each state where William Bailey maintains an active registration.
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Education and Certification
Financial Advisor Certification
Uniform Securities Agent State Law Examination (NASAA)
State Securities Law
January 28, 1987
General Securities Representative Examination
More information about each type of exam can be found on Credio’s Financial Exams website .
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Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events can be criminal matters, regulatory actions, civil judicial proceedings, customer complaints, employment terminations, arbitrations, civil litigations or other financial matters in which the advisor has been involved.
William Bailey had no reported disclosure events as of the most recent filing submitted to FINRA.
This information may be verified by entering the advisor’s Individual CRD Number (#1146817) on the SEC’s Investment Advisor Public Disclosure (IAPD) website, or by using FINRA’s BrokerCheck tool.
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Data updated on May 15, 2017 via the following sources:
SEC Investment Advisor Public Dislcosure: adviserinfo.sec.gov
FINRA BrokerCheck: brokercheck.finra.org