Phelps S. Mcilvaine
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Phelps Shaw Mcilvaine was a registered financial professional .
Phelps is a previously registered financial professional and started their career in finance in 1994. Phelps had worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 1995 - July 19, 2021
SATURNA CAPITAL CORPORATION
January 28, 1994 - July 19, 2021
SATURNA BROKERAGE SERVICES, INC
Primary Firm SEC Registration
SATURNA CAPITAL CORPORATION
CRD#: 25586 / SEC#: 801-35428, 8-41998
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
SATURNA CAPITAL CORPORATION
CRD#: 25586 / SEC#: 801-35428, 8-41998
Contact information
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 128 |
| AUM (Assets Under Management) | $ 8,624,828,208 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 01/26/2024 | ||
| 10/27/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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