HOWARD BAILEY SECURITIES, LLC of FORT WAYNE, IN is an SEC-registered investment adviser (CRD 282712). Regulatory assets under management: $582.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Casey Bailey Weade | CHIEF EXECUTIVE OFFICER | — |
| Marshal Neil Johnson | CHIEF COMPLIANCE OFFICER | — |
| Matthew Philip Christopher Chambers | CHIEF OPERATING OFFICER | — |
| HARPER ROBERT HENRY | CHIEF COMPLIANCE OFFICER | — |
| JOHNSON TIMOTHY NEIL | CHIEF COMPLIANCE OFFICER | — |
| WEADE CASEY BAILEY | CHIEF EXECUTIVE OFFICER; PRESIDENT; PRESIDENT AND CCO | — |
| Chambers Matthew Philip Christopher | CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER | — |
| Rachel Ann Lockwood | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-20 | regulatory | HOWARD BAILEY DIRECTLY AND INDIRECTLY DISSEMINATED NUMEROUS ADVERTISEMENTS CONTAINING AN ENDORSEMENT THAT HOWARD BAILEY IS THE "OFFICIAL WEALTH MANAGEMENT PARTNER OF" A SPECIFIC UNIVERSITY ATHLETIC PROGRAM WITHOUT INCLUDING DISCLOSURES REQUIRED BY THE MARKETING RULE. FURTHER, HOWARD BAILEY DISSEMINA… | Final | $90K |