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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

COLM F BAILEY

Advisor at LPL FINANCIAL LLC

SUMMERVILLE, SC | GOOSE CREEK, SC | GREENVILLE, SC

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Search this name across graphsid dfx:ria:34cfd35c-6ba9-0acc-4cd1-0f9e754bb084

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 11, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 28, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 28, 2008
First registration: Feb 11, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5431512

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	May 15, 2025	n/a	yes	GREENVILLE, SC\|GOOSE CREEK, SC\|SUMMERVILLE, SC\|SUMMERVILLE, SC\|SUMMERVILLE, SC	Current employment
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	May 14, 2014	May 15, 2025	no	SAN DIEGO, CA\|Columbia, SC\|Charleston, SC\|North Charleston, SC\|Goose Creek, SC\|Summerville, SC\|Goose Creek, SC\|Florence, SC\|Summerville, SC\|Mount Pleasant, SC\|Spartanburg, SC\|Summerville, SC\|Greenville, SC\|Summerville, SC	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Jul 26, 2012	May 15, 2014	no	N CHARLESTON, SC\|MT PLEASANT, SC\|CHARLESTON, SC	Previous registration
WFG ADVISORS, LP	Former SEC adviser	Aug 31, 2010	Jul 10, 2012	no	CHARLESTON, SC	Previous registration
MORGAN STANLEY	Wirehouse	Jan 4, 2010	Sep 13, 2010	no	Charleston, SC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 11, 2008	Feb 11, 2009	no	MOUNT PLEASANT, SC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CUSO FINANCIAL SERVICES, L.P.	LPL FINANCIAL LLC	May 15, 2025	May 15, 2025	0	Bulk transfer	Ibd to ibd
CUNA BROKERAGE SERVICES, INC.	CUSO FINANCIAL SERVICES, L.P.	May 15, 2014	May 14, 2014	-1	Firm change	Other
WFG ADVISORS, LP	CUNA BROKERAGE SERVICES, INC.	Jul 10, 2012	Jul 26, 2012	16	Firm change	Other
MORGAN STANLEY	WFG ADVISORS, LP	Sep 13, 2010	Aug 31, 2010	-13	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Feb 11, 2009	Jan 4, 2010	327	Firm change	Wirehouse to wirehouse

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 15, 2025 to presentfactForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
May 14, 2014 to May 15, 2025factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Jul 26, 2012 to May 15, 2014factForm ADV
→ WFG ADVISORS, LPRegistered adviserregistration: previous registration
Aug 31, 2010 to Jul 10, 2012factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 4, 2010 to Sep 13, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 11, 2008 to Feb 11, 2009factForm ADV

Dated events

No dated event names this entity yet.