Richard A. 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.
Richard Augustus Phelps JR., who also goes by Gus Phelps Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 9 firms and has passed the Series 63, Series 55, Series 7 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
January 8, 2013 - July 10, 2014
THE VERTICAL GROUP
July 4, 2011 - January 3, 2013
SARATOGA CAPITAL MARKETS
September 30, 2006 - October 7, 2011
RANGE GLOBAL LLC
October 24, 2005 - October 3, 2006
CARLIN EQUITIES, LLC
March 30, 2005 - April 29, 2005
BETTERMENT SECURITIES
February 8, 2005 - October 24, 2005
SCHONFELD SECURITIES, LLC
October 31, 2000 - January 7, 2002
WELLS FARGO CLEARING SERVICES, LLC
February 16, 1999 - September 1, 2000
DEUTSCHE IXE, LLC
June 7, 1996 - November 9, 1998
TUCKER ANTHONY INCORPORATED
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 55
Date: 5/24/2005
Limited Representative-Equity Trader ExamCurrent Firm
THE VERTICAL GROUP
CRD#: 104353 / SEC#: , 8-52814
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
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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