John M. Phelps
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.
John Merrick Phelps was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 10 firms and has passed the Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2005 - November 1, 2005
BARRON MOORE, INC.
December 10, 2004 - February 16, 2005
SOUTHWEST TEXAS CAPITAL, L.L.C
September 9, 2003 - March 8, 2004
LONE STAR SECURITIES, INC.
August 4, 2000 - September 19, 2001
UBS FINANCIAL SERVICES INC.
May 1, 1998 - August 22, 2000
WELLS FARGO CLEARING SERVICES, LLC
November 1, 1996 - May 5, 1998
PRUDENTIAL EQUITY GROUP, LLC
March 17, 1995 - November 15, 1996
MORGAN STANLEY DW INC.
August 11, 1994 - March 10, 1995
J.P. MORGAN SECURITIES LLC
May 5, 1994 - August 15, 1994
CITIGROUP GLOBAL MARKETS INC.
March 30, 1994 - May 6, 1994
DICKINSON & CO.
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
Current Firm
BARRON MOORE, INC.
CRD#: 123521 / SEC#: , 8-65589
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARRON MOORE HOLDINGS, INC. | OWNER/HOLDING COMPANY | |
| MOORE, KATHERINE ANN | PRESIDENT, CEO & CFO | 1342145 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
