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JAMES A PHELPS JR
JAMES PHELPS, JIMMY PHELPS, James A Phelps Jr
CRD#: 5610584
IA
B
WELLS FARGO ADVISORSCRD#: 11025 1925 FREDERICA ST.
SUITE 110
OWENSBORO, KY 42301
SUITE 110
OWENSBORO, KY 42301
0
Disclosures
16
Years of Experience
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State Registrations
B
Florida 10/4/2023
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Kentucky 10/4/2023
B
Illinois 10/4/2023
B
Missouri 10/4/2023
B
Indiana 10/4/2023
B
Ohio 12/16/2024
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Indiana 6/20/2024
B
Tennessee 10/4/2023
B
Kentucky 10/4/2023
B
Virginia 11/21/2023
SRO Registrations
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Registered with this firm since 10/4/2023
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Registered with this firm since 10/4/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/06/2015 - 10/05/2023 | OWENSBORO, KY | |
B | 10/01/2012 - 10/05/2023 | OWENSBORO, KY | |
B | 11/14/2008 - 10/01/2012 | OWENSBORO, KY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.