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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

Neal A Bailey

Advisor at EMPOWER ADVISORY GROUP, LLC

ST JOHNS, FL | GREENWOOD VILLAGE, CO

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Search this name across graphsid dfx:ria:66c816cd-c60f-88f5-2e12-8bdde50843ea

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 19, 2007 to Sep 15, 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: EMPOWER ADVISORY GROUP, 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: Feb 27, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S66|S63
First exam: Feb 27, 1991
First registration: Jun 19, 2007
Dual registered: yes, broker-dealer
Other names: NEAL ALLAN BAILEY|Neal Allen Bailey|NEAL ALLAN BAILEY
IAPD individual key: 2109354

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
EMPOWER ADVISORY GROUP, LLC	Bd affiliated wealth	Jul 21, 2026	n/a	yes	ST JOHNS, FL\|GREENWOOD VILLAGE, CO	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Oct 1, 2021	no	BOSTON, MA\|JACKSONVILLE, FL	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Oct 5, 2011	Jul 13, 2018	no	KNOXVILLE, TN	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Nov 24, 2009	Sep 1, 2011	no	PONTE VERDE, FL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 29, 2009	Sep 1, 2011	no	Jacksonville, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 13, 2007	Feb 24, 2009	no	OAK RIDGE, TN\|WEEHAWKEN, NJ\|KNOXVILLE, TN\|Knoxville, TN	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jun 19, 2007	Aug 23, 2007	no	CHARLOTTE, NC	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	EMPOWER ADVISORY GROUP, LLC	Oct 1, 2021	Jul 21, 2026	1,754	Firm change after gap	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	STRATEGIC ADVISERS LLC	Sep 1, 2011	Oct 5, 2011	34	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Sep 1, 2011	Nov 24, 2009	-646	Channel change	Other
UBS FINANCIAL SERVICES INC.	TD AMERITRADE, INC.	Feb 24, 2009	Oct 29, 2009	247	Firm change	Wirehouse to new firm
ADVICE AND PLANNING SERVICES	UBS FINANCIAL SERVICES INC.	Aug 23, 2007	Sep 13, 2007	21	Firm change	Other

Relationships

Registered with (7)

→ EMPOWER ADVISORY GROUP, LLCRegistered adviserregistration: current employment
Jul 21, 2026 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Oct 1, 2021factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Oct 5, 2011 to Jul 13, 2018factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 24, 2009 to Sep 1, 2011factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 29, 2009 to Sep 1, 2011factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 13, 2007 to Feb 24, 2009factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Jun 19, 2007 to Aug 23, 2007factForm ADV

Dated events

No dated event names this entity yet.