William Stephen Bailey

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-09-05

NY RA
APPROVED

Since 2025-09-05

Branch Locations

70 Linden Oaks Office Park, Rochester, NY 14625 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
1St Global Capital Corp.	Rochester	NY	07/1999	10/2019
Avantax Insurance Services, Inc.	Rochester	NY	06/2004	09/2025
1St Global Advisors, Inc.	Rochester	NY	06/2007	10/2019
Bonn, Dioguardi & Ray, Llp	Rochester	NY	03/2015	Present
Avantax Investment Services, Inc.	Rochester	NY	10/2019	09/2025
Avantax Advisory Services	Rochester	NY	07/1999	09/2025
Cetera Wealth Services, Llc	Rochester	NY	09/2025	Present
Cetera Investment Advisers Llc	Schaumburg	IL	09/2025	Present

07/1999 → 10/2019

1St Global Capital Corp.

Rochester, NY
06/2004 → 09/2025

Avantax Insurance Services, Inc.

Rochester, NY
06/2007 → 10/2019

1St Global Advisors, Inc.

Rochester, NY
03/2015 → Present

Bonn, Dioguardi & Ray, Llp

Rochester, NY
10/2019 → 09/2025

Avantax Investment Services, Inc.

Rochester, NY
07/1999 → 09/2025

Avantax Advisory Services

Rochester, NY
09/2025 → Present

Cetera Wealth Services, Llc

Rochester, NY
09/2025 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2021-09-04 → 2025-09-05

Avantax Advisory Services

Rochester, NY

Other Businesses

1) T. AND L.S. FAMILY TRUST FBO L.K.S. POSITION: Trustee NATURE: TRUST INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 7/29/09 DESCRIPTION: Trustee duties 2) L.K.S. TRUST FBO T.F.S.JR. POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 7/29/09 DESCRIPTION: Trustee duties 3) L.K.S. TRUST FBO L.S.P. POSITION: TRUSTEE NATURE: TRUST INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 7/29/09 DESCRIPTION: Trustee duties 4) BAILEY WEALTH MANAGEMENT, INC. (FORMERLY WEALTH MANAGEMENT ADVISORS, INC) POSITION: PRESIDENT NATURE: WEALTH MANAGEMENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 01/01/2000 ADDRESS: Pittsford NY , United States DESCRIPTION: FINANCIAL SERVICES ENTITY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-10-19
S63	Uniform Securities Agent State Law Examination	1988-11-10

S66 Uniform Combined State Law Examination

1999-10-19
S63 Uniform Securities Agent State Law Examination

1988-11-10

Designations

Personal Financial Specialist

View on SEC IAPD