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Thomas Bailey

Esi Financial Advisors
26 Years of Experience
Glastonbury, CT
1 DisclosureBrokerSells Insurance
View SEC Summary
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Thomas Bailey is a registered investment advisor at Esi Financial Advisors, based in Glastonbury, CT, with 26 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 12,379 clients with $2.8B in assets under management.

Esi Financial Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
536 advisors
Number of Clients
12,379 clients
Average Client Portfolio
$224K average
Assets Under Management
$2.8B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $2.5M0.75%
$2.5M - $5.0M0.60%
$5.0M - $10.0M0.50%
$10M+0.35%

Rates reflect the primary schedule used in programs like American Funds and Schwab Retirement Advisor Services. Other programs have different maximum fees (AssetMark up to 1.50%, Saratoga up to 2.00%, SEI up to 1.75% plus 0.05% administrative fee). Actual fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

120 Hebron Avenue, Suite 2B, Glastonbury, CT, 06033

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Thomas is a member of 3PlayLife and Maffe Financial Group, selling insurance products and operating an insurance brokerage business through TriplePlay Financial Marketing, LLC. He also occasionally buys or sells antiques and artwork as a hobby.

Employment History
Current Registrations
Esi Financial Advisors
April 2002 - Present · 24 yrs 6 mos
Equity Services, INC.Broker
September 2001 - Present · 25 yrs 1 mo
Previous Registrations
Ids Life Insurance CompanyBroker
March 2000 - August 2001 · 1 yr 5 mos
American Express Financial Advisors INC.Broker
March 2000 - August 2001 · 1 yr 5 mos
State Registrations10 states
AKCACTFLMANCNHNYRIWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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