Charles Frederick 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1997 → 10/2019
  1St Global Capital Corp.
  Rocky Hill, CT
• 07/2000 → 10/2019
  1St Global Advisors,Inc
  Rocky Hill, CT
• 01/2004 → 09/2025
  Avantax Insurance Services, Inc.
  Rocky Hill, CT
• 12/2005 → Present
  Charles Bailey & Associates, Llc
  Rocky Hill, CT
• 10/2019 → 09/2025
  Avantax Advisory Services
  Rocky Hill, CT
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Rocky Hill, CT
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Marion, CT
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-10-25 → 2025-09-05
  Avantax Advisory Services
  Rocky Hill, CT
  Marion, CT
• 2000-09-12 → 2019-10-25
  1St Global Advisors Inc
  Rocky Hill, CT

Other Businesses

1) BEACON WEALTHCARE SERVICES, INC POSITION: PRESIDENT NATURE: Financial servics INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2003 ADDRESS: Rocky Hill CT , United States DESCRIPTION: Provide financial services to clients 2) CHARLES BAILEY & ASSOCIATES, LLC POSITION: CPA NATURE: CPA firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/2005 DESCRIPTION: CPA firm

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-14
• S63 Uniform Securities Agent State Law Examination
  1997-10-28

Designations

• Certified Financial Planner
• Personal Financial Specialist