Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Vail Phelps is a registered representative with Wells Fargo Clearing Services, LLC. William has been in the industry since September 10, 2006. William has a Series 63 license, a Series 65 license, a Series 7 license, a Series 31 license, and a SIE license. William is registered in Pennsylvania, New Jersey, Massachusetts, District of Columbia, and North Carolina. William was previously registered with Ameriprise Financial Services, LLC and Ameriprise Advisor Services, Inc. William specializes in providing financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional clients.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
PA
11/09/2022 - Present
Wells Fargo Clearing Services, LLC (ALLENTOWN PA)
PA
10/05/2009 - 11/07/2022
AMERIPRISE FINANCIAL SERVICES, LLC (Center Valley PA)
NJ
03/08/2007 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (SHORT HILLS NJ)
NJ
08/08/2006 - 02/01/2007
EDWARD JONES (BRIDGEWATER NJ)
IA
Issued 08/20/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 08/07/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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