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Sandra Ann Bailey

Cetera Investment Advisers LLC

South Portland, ME

Portland, ME

CRD 4762808

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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

AuthorityCategoryStatusDate
ME RA APPROVED 2014-01-21
  • ME RA
    APPROVED
    Since 2014-01-21

Branch Locations

601 Broadway, South Portland, ME 04116 • United States

Portland, ME • 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
OrganizationCityStateFromTo
Cetera Investment Services St. Cloud MN 03/2010 Present
Cetera Investment Advisers Llc South Portland ME 01/2014 Present
Saco & Biddeford Savings Institution South Portland ME 11/2022 Present
  • 03/2010 → Present
    Cetera Investment Services
    St. Cloud, MN
  • 01/2014 → Present
    Cetera Investment Advisers Llc
    South Portland, ME
  • 11/2022 → Present
    Saco & Biddeford Savings Institution
    South Portland, ME
Previous Registrations
  • 2009-11-17 → 2010-02-18
    Td Wealth Management Services Inc.
    South Portland, ME
    Portland, ME
    Brunswick, ME
    Bridgton, ME
    Portland, ME
  • 2007-07-03 → 2009-11-17
    Cetera Investment Services Llc
    Portland, ME
Other Businesses

1. NOTARY SERVICES FOR EXISTING CETERA CLIENTS; DOES NOT NOTARIZE FIRM RELATED DOCUMENTS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-28
S63 Uniform Securities Agent State Law Examination 2004-04-13
  • S66 Uniform Combined State Law Examination
    2007-06-28
  • S63 Uniform Securities Agent State Law Examination
    2004-04-13
Other Names
  • Sandra Ann Gushue

View on SEC IAPD

Nearby Firms

COMMONWEALTH FINANCIAL NETWORK
RICHARD BROTHERS, FINANCIAL ADVISORS
SAVANT WEALTH MANAGEMENT

Nearby Investors

Peter John Fendler
RYAN LUCZYNSKI
ZACHARY JOSEPH WIELGOSZINSKI

Nearby Offices

COMMONWEALTH FINANCIAL NETWORK · South Portland, ME
RICHARD BROTHERS, FINANCIAL ADVISORS · SOUTH PORTLAND, ME
SAVANT WEALTH MANAGEMENT · South Portland, ME

More in South Portland, ME

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