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James A Phelps

Wells Fargo Advisors Financial Network, LLC

Owensboro, KY

CRD 5610584

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Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2024-06-20
KY RA APPROVED 2023-10-10
  • IN RA
    APPROVED
    Since 2024-06-20
  • KY RA
    APPROVED
    Since 2023-10-10

Branch Locations

3121 Commonwealth Ct, Owensboro, KY 42303 • 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
Jpmorgan Chase Bank Na Louisville KY 10/2008 10/2023
J.P. Morgan Securities Llc Owensboro KY 10/2012 10/2023
Sioac Equity Holdings, Llc. Newburgh IN 05/2019 10/2021
Wells Fargo Advisors Financial Network, Llc Owensboro KY 10/2023 Present
Previous Registrations
  • 2015-11-06 → 2023-10-05
    J.P. Morgan Securities Llc
    Owensboro, KY
    Owensboro, KY
    Owensboro, KY
    Owensboro, KY
    Bowling Green, KY
    Owensboro, KY
    Bowling Green, KY
Other Businesses

PHELPS WEALTH MANAGEMENT LLC; INV RELATED; OWENSBORO, KY; LLC;100% OWNERSHIP; START DATE: 12/27/2023; 1 HRS PER MONTH; 0 HRS DURING TRADING; |

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-10-26
S63 Uniform Securities Agent State Law Examination 2008-11-21
  • S66 Uniform Combined State Law Examination
    2015-10-26
  • S63 Uniform Securities Agent State Law Examination
    2008-11-21
Other Names
  • Jimmy Phelps
  • James A Phelps
  • James Phelps

View on SEC IAPD

Nearby Firms

RIVERCITIES ASSET MANAGEMENT, LLC
EDWARD JONES
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Nearby Investors

GREGORY LOUIS MOORE
Corbin Wilson
Russell Mack Burton

Nearby Offices

RIVERCITIES ASSET MANAGEMENT, LLC · OWENSBORO, KY
EDWARD JONES · OWENSBORO, KY
EDWARD JONES · OWENSBORO, KY

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