Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DOUGLAS MIDDLETON BAILEY
CRD#: 1278643
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 N PACK SQ
ASHEVILLE, NC 28801
Registration History
198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - Present (25 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - Present (37 years)BTHE ROBINSON-HUMPHREY COMPANY INC. (CRD# 723)1984 - 1987 (2 years)
Disclosure(s)
View By:
8/28/2002
Customer Dispute
Pending
11/21/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 10/21/2014
B
Nevada 7/11/2023
B
California 4/11/1988
B
New Jersey 10/3/1990
B
Colorado 1/19/1995
B
New York 6/15/1989
B
District of Columbia 9/11/1998
B
North Carolina 4/15/1987
B
Florida 2/1/1989
IA
North Carolina 1/6/2003
B
Georgia 8/3/1990
B
Ohio 7/3/1989
B
Illinois 1/8/1990
B
Oklahoma 9/18/2013
B
Indiana 8/26/2021
B
Oregon 3/11/2004
B
Kansas 3/21/2000
B
Pennsylvania 7/30/1990
B
Kentucky 5/21/2008
B
South Carolina 4/15/1987
B
Louisiana 2/16/2024
B
Tennessee 2/6/1989
B
Maine 7/27/2018
B
Texas 5/7/1999
B
Maryland 1/20/1992
IA
Texas 5/7/1999
B
Massachusetts 9/18/2015
B
Vermont 1/8/2018
B
Michigan 11/17/1993
B
Virginia 4/7/1989
B
Minnesota 1/17/2017
B
Washington 8/5/2008
B
Mississippi 5/6/2021
B
Wisconsin 1/2/2018
B
Montana 4/9/2019
B
Wyoming 3/5/2020

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 N PACK SQ, ASHEVILLE, NC 28801
Registered with this firm since 5/7/1999
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 N PACK SQ, ASHEVILLE, NC 28801
Registered with this firm since 4/15/1987
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/21/1984 - 05/19/1987 THE ROBINSON-HUMPHREY COMPANY INC. (CRD#:723)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.