Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Joseph Phelps is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Kenneth has been working in the financial industry since June 2020, with experience in investment services, banking and construction. Kenneth has passed the Series 66, Series 7, Series 9 and SIE exams and is registered in 13 states, including California, Nevada, Texas, Florida, and Oregon. Kenneth specializes in working with individuals, corporations, charitable organizations, insurance companies, pension plans and state and municipal government entities.
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.
1
2
NV
07/05/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RENO NV)
NV
01/13/2022 - 05/05/2022
WELLS FARGO CLEARING SERVICES, LLC (RENO NV)
NV
08/13/2021 - 12/13/2021
BANCWEST INVESTMENT SERVICES, INC. (RENO NV)
NV
08/09/2018 - 08/14/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RENO NV)
NV
09/05/2017 - 01/11/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RENO NV)
BOTH
Issued 09/04/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/22/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2017
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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