Aug 11 2017

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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:

Investment Advisor
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
  • Commissions
  • Fee Only

Advisory services offered:

  • Financial Planning
  • Portfolio Management for Individuals
  • Portfolio Management for Businesses/Institutional
  • Securities Portfolio Management
  • Selection of Other Advisors

State Registrations

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.

Above is a partial list of advisors working at UBS Financial Services. Credio’s Financial Advisors website contains 731,205 advisors, with options to sort and filter by city, company, years experience and more. You can click the button below to view all advisors at UBS Financial Services. or set the filter for a specific city.

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Advisors with Barrons Rating

Education and Certification

Financial Advisor Certification

Uniform Securities Agent State Law Examination (NASAA)
State Securities Law

January 28, 1987

General Securities Representative Examination
General Industry/Product

More information about each type of exam can be found on Credio’s Financial Exams website .

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FINRA Disclosures

Disclosures Summary

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.

For those interested in managing some of your investments on your own we have more research tools that may be of assistance. Below is a sample list of funds from our Mutual Funds Research Topic. where you can sort and filter mutual funds based on annual performance, ratings, fees and much more. We also publish an up-to-date Online Brokers Research Topic which lists current promotions and a Smart Rating Score for each firm.

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Data updated on May 15, 2017 via the following sources:
SEC Investment Advisor Public Dislcosure:
FINRA BrokerCheck:

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