Wendy Nelson Bailey has been Chief Compliance Officer and Vice-President of Southern Capital Services since November 2011, is a control person of the firm and directly owns under 5% of it. Wendy Nelson Bailey holds a Bachelors degree in Finance from Villanova University and a Master of Business Administration from Arizona State University.
Southern Capital Services, Inc. is a Daphne, AL firm with $192M under management, 394 clients and 6 advisers across 4 offices, as of its March 2026 filing.
Wendy Nelson Bailey is Vice President & Chief Compliance Officer of Southern Capital Services, Inc. She joined the firm in November 2011 as Chief Compliance Officer and Investment Advisor Representative. Earlier, she spent the first fifteen years of her career with The Vanguard Group of Investment Companies, and after returning to her hometown of Daphne, Alabama in 2004 she served as an Investment Advisor at Morgan Stanley, a Mortgage Broker at First Gulf Bank and BSA/Compliance officer for First National Bank of Baldwin County.
Wendy Nelson Bailey’s longest registration is the current one, 14 years at Southern Capital Services since 2011. Before joining Southern Capital Services in 2011, Wendy Nelson Bailey was registered through Uvest Financial Services Group, Inc. and Morgan Stanley.
- – present · 14 yearsDaphne, AL · Adviser representative · Firm CRD 105582
- Uvest Financial Services Group, Inc.– · 3 yearsDaphne, AL · Adviser representative · Firm CRD 13787
- Morgan Stanley– · 1 yearMobile, AL · Adviser representative · Firm CRD 7556
- Vanguard Advisers Inc– · under a yearScottsdale, AZ · Adviser representative · Firm CRD 106715
Professional designations
Listed by Southern Capital Services
- CERTIFIED FINANCIAL PLANNER™
Investment adviser representative registrations
Wendy Nelson Bailey is registered as an investment adviser representative in 2 states. The first approvals date from November 2011; the most recent is Texas, in July 2012.
- AlabamaSince 7 November 2011
- TexasSince 23 July 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 14 April 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 7 April 2005 |
| Series 24 | General Securities Principal Examination | 22 February 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 March 1992 |
| Series 7 | General Securities Representative Examination | 27 February 1992 |
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Wendy Louise Nelson Bailey
- CRD
- 1985291
- Firm
- Southern Capital Services · CRD 105582
- Role
- Chief Compliance Officer; Vice-President
- Office
- 29000 US HWY 98, THE SUMMIT, SUITE 203-B, Daphne, AL 36526
- Registration
- Investment adviser registration
- In the industry since
- January 2007
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- southerncapitalservices.com
Where does Wendy Nelson Bailey work?
Wendy Nelson Bailey has been Chief Compliance Officer; Vice-President of Southern Capital Services, Inc. since November 2011, and is a control person of the firm.
Is Wendy Nelson Bailey a financial advisor?
Yes. Wendy Nelson Bailey has a current investment-adviser registration in Alabama and Texas, through Southern Capital Services since November 2011.
How many years of experience does Wendy Nelson Bailey have?
Wendy Nelson Bailey has 19 years in the financial industry, since January 2007, across 4 adviser firms.
What exams has Wendy Nelson Bailey passed?
Wendy Nelson Bailey has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 65 and Series 31. The earliest, the Series 7, was passed in February 1992.
Where did Wendy Nelson Bailey work before Southern Capital Services?
Before Southern Capital Services, Wendy Nelson Bailey was registered through Uvest Financial Services Group, Inc., November 2007 to December 2010; Morgan Stanley, March 2005 to June 2006; Vanguard Advisers Inc, January 2004 to July 2004.
Where is Wendy Nelson Bailey based?
Wendy Nelson Bailey’s registered office is in Daphne, AL.
Is Wendy Nelson Bailey registered with FINRA?
No. Wendy Nelson Bailey has no current broker registration.
Is Wendy Nelson Bailey a CFP?
Southern Capital Services lists Wendy Nelson Bailey with the CFP credential (“CERTIFIED FINANCIAL PLANNER™”) on its website. CFP Board confirms certification status.
Source: Wendy Nelson Bailey biography, southerncapitalservices.com
How can I verify Wendy Nelson Bailey’s record?
Search CRD 1985291 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Wendy Nelson Bailey’s full registration record.
