TrueAdvisor
TrueAdvisor
CB
CB

Carl Bailey

Commonwealth Financial Network
47 Years of Experience
Danbury, CT
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Carl Bailey is a registered investment advisor at Commonwealth Financial Network, based in Danbury, CT, with 47 years of industry experience. Carl is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

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

Location

83 Wooster Heights, Danbury, CT, 06810

Get directions

History

Regulatory History (2)
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
March 2003
Denied
Regulatory
February 1990
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Carl sells fixed insurance products since 2002 and owns Jedepah Inc, a tax company, since 2007. He also serves as a co-trustee and executor for clients, and a trustee for an Article Sixth Trust, dedicating minimal time to these activities.

Employment History
Current Registrations
Commonwealth Financial Network
September 2002 - Present · 24 yrs 1 mo
Commonwealth Financial NetworkBroker
September 2002 - Present · 24 yrs 1 mo
Previous Registrations
Manequity, INC.Broker
October 1992 - December 1993 · 1 yr 2 mos
Nathan & Lewis Securities, INC.Broker
July 1985 - September 2002 · 17 yrs 2 mos
Aetna Life Insurance and Annuity CompanyBroker
August 1983 - March 1992 · 8 yrs 7 mos
Hartford Equity Sales Company INC.Broker
April 1983 - November 1988 · 5 yrs 7 mos
Cardell & Associates, IncorporatedBroker
March 1983 - August 1985 · 2 yrs 5 mos
Cigna Securities, INC.Broker
August 1979 - January 1983 · 3 yrs 5 mos
State Registrations23 states
ARAZCACOCTDCFLGAILMAMDMENCNHNJNYORPASCTXVAVTWA
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.
More Advisors
More financial advisors in Danbury, CT →All financial advisors in Connecticut →