Derek Craig Bailey

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03

NY RA
APPROVED

Since 2021-08-03

Branch Locations

44 West Route 59, Nanuet, NY 10954 • United States

196 Rte 59, Airmont, NY 10901 • United States

591 Route 17M, Monroe, NY 10950 • United States

18 Oakland Avenue, Warwick, NY 10990 • 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
Key Investment Services Llc	Poughkeepsie	NY	10/2013	01/2017
Sterling National Bank	Yonkers	NY	02/2017	Present
Lpl Financial, Llc	Yonkers	NY	02/2017	Present

10/2013 → 01/2017

Key Investment Services Llc

Poughkeepsie, NY
02/2017 → Present

Sterling National Bank

Yonkers, NY
02/2017 → Present

Lpl Financial, Llc

Yonkers, NY

Other Businesses

1) 09/02/2021 - Webster Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/02/2021.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-07-24
S63	Uniform Securities Agent State Law Examination	2003-04-07

S66 Uniform Combined State Law Examination

2014-07-24
S63 Uniform Securities Agent State Law Examination

2003-04-07

Other Names

Derek Craig Bailey
Derek Craig Bailey

View on SEC IAPD