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Daisy J Phelps

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Alpharetta, GA

Pennington, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2020-02-06
TX RA APPROVED_RES 2020-01-30
FL RA APPROVED 2014-07-31
  • GA RA
    APPROVED
    Since 2020-02-06
  • TX RA
    APPROVED_RES
    Since 2020-01-30
  • FL RA
    APPROVED
    Since 2014-07-31

Branch Locations

10000 Avalon Blvd, Alpharetta, GA 30009 • United States

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jacksonville FL 06/2014 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-10-30
S63 Uniform Securities Agent State Law Examination 2013-09-30
  • S65 Uniform Investment Adviser Law Examination
    2013-10-30
  • S63 Uniform Securities Agent State Law Examination
    2013-09-30
Other Names
  • Daisy Jo Wood
  • Daisy Phelps
  • Daisy J Wood
  • Daisy Jo Phelps

View on SEC IAPD

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Other Offices

MRP CAPITAL INVESTMENTS, LLC · ALPHARETTA, GA
NEW EDGE WEALTH · Alpharetta, GA
COMMONWEALTH FINANCIAL NETWORK · Alpharetta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
BROOKSTONE WEALTH ADVISORS, LLC · Alphretta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
LADENBURG THALMANN ASSET MANAGEMENT INC · Norcross, GA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · ALPHARETTA, GA

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