Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Alan Phelps is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Charles has been working in the financial services industry for over 40 years and has experience in providing investment advisory services to individuals, businesses, and institutions. Charles is licensed to provide investment advisory services in 28 states. Charles has a strong understanding of the financial markets and is committed to providing his clients with personalized investment advice and portfolio management services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
08/07/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN MATEO CA)
CA
06/01/2009 - 08/28/2013
MORGAN STANLEY (SAN MATEO CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN MATEO CA)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/21/1977 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 12/08/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/02/1989
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/26/1988
Series 24 - General Securities Principal Examination
BC
Issued 09/18/1984
Series 4 - Registered Options Principal Examination
BC
Issued 03/06/1980
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1977
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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