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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

LISA MARIE BAILEY

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

BIRMINGHAM, MI

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Search this name across graphsid dfx:ria:c200f6e7-04f7-acc0-e69a-58b0fc1e8981

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 9, 2011 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: RAYMOND JAMES & ASSOCIATES, INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 9, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jan 9, 1987
First registration: Feb 9, 2011
Dual registered: yes, broker-dealer
Other names: LISA MARIE BEARD|LISA M BAILEY|Lisa Bailey
IAPD individual key: 1463659

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
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Jan 15, 2026	n/a	yes	BIRMINGHAM, MI	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 3, 2023	Jan 21, 2026	no	Bloomfield Hills, MI\|Davison, MI	Previous registration
COMERICA SECURITIES	Former SEC adviser	Feb 9, 2017	Nov 3, 2023	no	BLOOMFIELD HILLS, MI	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 7, 2014	Aug 19, 2016	no	FLINT, MI	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 9, 2011	Mar 13, 2013	no	TROY, MI\|TROY, MI	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
AMERIPRISE FINANCIAL SERVICES, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Jan 21, 2026	Jan 15, 2026	-6	Firm change	Ibd to ibd
COMERICA SECURITIES	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 3, 2023	Nov 3, 2023	0	Bulk transfer	RIA to ibd
WELLS FARGO ADVISORS	COMERICA SECURITIES	Aug 19, 2016	Feb 9, 2017	174	Firm change	Other
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Mar 13, 2013	Oct 7, 2014	573	Firm change after gap	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6363:705:MI:2026-01-21	Jan 21, 2026	Jan 15, 2026	DAVISON, MI	Firm change

Relationships

Registered with (5)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Jan 15, 2026 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 3, 2023 to Jan 21, 2026factForm ADV
→ COMERICA SECURITIESRegistered adviserregistration: previous registration
Feb 9, 2017 to Nov 3, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 7, 2014 to Aug 19, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 9, 2011 to Mar 13, 2013factForm ADV

Dated events

Occurred
Jan 21, 2026
Advisor changed firm
Lisa Marie Bailey left Ameriprise Financial Services, Llc for Raymond James & Associates, Inc. (registered 2026-01-15)
Form ADVobserved 3 days ago