A complete list of active advisors currently associated with Howard Bailey Securities, LLC
Warmer can help you find a great advisor at Howard Bailey Securities, LLC or one who fits your needs even better.
Howard Bailey Securities, LLC provides discretionary asset management and financial planning services — with an emphasis on retirement planning — to a broad mix of clients including individuals, trusts, estates, qualified retirement plans, charitable organizations, foundations, endowments, corporations, small businesses and churches. The firm reports approximately $582.8 million in discretionary assets under management, roughly 15 advisors, and serves about 1,700 clients. The firm combines fundamental analysis, technical analysis, and Modern Portfolio Theory to design and monitor portfolios, conducts periodic reviews and rebalances accounts, and typically uses Fidelity as custodian. It also uses third‑party money managers and a sub‑adviser arrangement (including AE Wealth Management and the Orion platform), offers access to alternative investments on a case‑by‑case basis, and can facilitate estate‑planning documents through third‑party platforms such as Wealth.com. Notably, the firm disclosed an SEC enforcement matter from 2024 in which it was found to have violated SEC marketing rules, agreed to a cease‑and‑desist order, and paid a $90,000 penalty while revising its advertisements to comply with Rule 206(4)‑1. The firm’s advisers also conduct licensed insurance activities that account for a material portion of their time and compensation, and the brochure discloses historical arrangements (including a forgivable loan tied to platform migration incentives and ongoing bonus/discount arrangements) that create potential conflicts of interest to be managed.
To learn more about the advisors currently working at Howard Bailey Securities, LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.
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