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Detailed Report
CHARLES PHELPS JR.
CHARLES WILBUR PHELPS JR, CHARLES WILBUR PHELPS, CHARLES PHELPS, Charles W Phelps Jr, Charles W Phelps
CRD#: 7008886
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 2261 Q STREET NORTHEAST-SUITE 2A
ALBUQUERQUE, NM 87110
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 2100 LOUISIANA BLVD NE
Building 209
ALBUQUERQUE, NM 87110-5413
Registration History
20202021202220232024202520262 FIRMS2020 - 2021 (1 year)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - Present (2 years)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2020 - 2020 (<1 year)
License(s)

State Registrations

B
Arizona 6/21/2022
B
Oregon 1/4/2025
B
Arkansas 1/4/2025
B
South Carolina 1/4/2025
B
California 7/21/2023
B
South Dakota 5/9/2023
B
Colorado 6/21/2022
B
Texas 6/21/2022
B
Florida 7/18/2023
IA
Texas 6/29/2022
B
Missouri 1/4/2025
B
Utah 6/21/2022
B
New Mexico 6/21/2022
B
Virginia 1/4/2025
IA
New Mexico 6/30/2022
B
Washington 1/29/2025
B
North Carolina 2/1/2023

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
2261 Q STREET NORTHEAST-SUITE 2A, ALBUQUERQUE, NM 87110
Registered with this firm since 6/29/2022
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
2100 LOUISIANA BLVD NE Building 209, ALBUQUERQUE, NM 87110-5413
ALBUQUERQUE, NM
Registered with this firm since 6/21/2022
Previous Registration(s)
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IA
 04/02/2021 - 05/08/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) Albuquerque, NM
B
 04/01/2021 - 05/08/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) Albuquerque, NM
IA
 01/27/2020 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) Honolulu, HI
B
 01/22/2020 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) Honolulu, HI
IA
 01/17/2020 - 12/31/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Honolulu, HI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.