Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dwain? Claim Your ProfileDwain Phelps is a financial professional with over 24 years of experience in the financial services industry. Dwain is currently registered with Arete Wealth Management, LLC in Chicago, Illinois. Dwain holds the Series 6 and Series 63 securities licenses, as well as the SIE.
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.
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.
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2
IL
12/08/2023 - Present
Arete Wealth Management, LLC (CHICAGO IL)
GA
07/07/2022 - 12/01/2023
CENTER STREET SECURITIES, INC. (Kennesaw GA)
MI
01/05/2015 - 05/26/2022
CORECAP INVESTMENTS, LLC (SOUTHFIELD MI)
GA
10/07/2014 - 12/19/2014
KOVACK SECURITIES INC. (Marietta GA)
GA
09/06/2013 - 10/03/2014
RESOURCE HORIZONS GROUP LLC (MARIETTA GA)
FL
08/12/2011 - 09/03/2013
PEAK BROKERAGE SERVICES, LLC (JUPITER FL)
GA
08/31/2009 - 08/15/2011
CAPE SECURITIES INC. (MCDONOUGH GA)
GA
11/13/2002 - 06/29/2009
WOODBURY FINANCIAL SERVICES, INC. (CANTON GA)
OH
09/16/1998 - 11/20/2002
THE O.N. EQUITY SALES COMPANY (CINCINNATI OH)
BC
Issued 09/15/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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