Individual Firm
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KENNETH JOSEPH PHELPS
KENNETH J PHELPS, Kenneth Joseph Phelps, Kenneth Phelps
CRD#: 6801166
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 5005 PYRAMID WAY
SPARKS, NV 89436
SPARKS, NV 89436
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Disclosures
4
Years of Experience
View By:
State Registrations
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Arizona 6/15/2022
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Nevada 6/16/2022
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California 6/15/2022
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New Jersey 8/23/2023
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California 6/16/2023
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Oregon 6/15/2022
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Florida 6/15/2022
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Texas 6/15/2022
B
Idaho 6/15/2022
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Texas 7/5/2022
B
Kansas 10/25/2024
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Utah 6/15/2022
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Nevada 6/9/2022
SRO Registrations
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Registered with this firm since 6/16/2022
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Registered with this firm since 6/9/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/25/2022 - 05/05/2022 | RENO, NV | |
B | 01/13/2022 - 05/05/2022 | RENO, NV | |
IA | 08/24/2021 - 12/13/2021 | RENO, NV | |
B | 08/13/2021 - 12/13/2021 | RENO, NV | |
IA | 09/20/2018 - 08/14/2019 | RENO, NV | |
B | 08/09/2018 - 08/14/2019 | RENO, NV | |
B | 09/05/2017 - 01/11/2018 | RENO, NV |
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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.