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Detailed Report
JOSEPH BAYLESS
JOE BAYLESS
CRD#: 1584624
IA
Investment Adviser
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Previous Broker
STERLING FINANCIAL ADVISORS, LLCCRD#: 107783 OMAHA, NE
Registration History
199019952000200520102015202020252 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - 2016 (6 years)IASTERLING FINANCIAL ADVISORS, LLC (CRD# 107783)2022 - Present (3 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1986 - 1993 (6 years)IAOMAHA WEALTH MANAGEMENT, LLC (CRD# 284329)2016 - 2021 (5 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
License(s)

State Registrations

IA
Nebraska 1/4/2022
Current Registration(s)
IA
STERLING FINANCIAL ADVISORS, LLC (CRD#:107783)
OMAHA, NE
Registered with this firm since 1/4/2022
Previous Registration(s)
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IA
 07/01/2016 - 12/31/2021 OMAHA WEALTH MANAGEMENT, LLC (CRD#:284329) OMAHA, NE
IA
 07/23/2010 - 08/02/2016 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) OMAHA, NE
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 06/25/2010 - 08/02/2016 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) OMAHA, NE
IA
 06/01/2009 - 07/21/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) OMAHA, NE
B
 06/01/2009 - 07/21/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) OMAHA, NE
IA
 10/22/1997 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OMAHA, NE
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 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OMAHA, NE
B
 11/21/1986 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.