Thaddeus D. Phelps

ADVANCE WEALTH MANAGEMENT SERVICE

GRAND RAPIDS, MI 49503

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CRD#: 2859949

Professional summary

Thaddeus Dwight Phelps, CFP®, ChFC® is a registered financial advisor currently at ADVANCE WEALTH MANAGEMENT SERVICE, LLC located in Grand Rapids, Michigan.

Thaddeus is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thaddeus has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Tax Planning

Estate Planning

Insurance Planning

Investment Planning

Retirement Planning

Do you have an area of expertise or specialization?

AUM

Estate & Generational Planning...

Tax Planning

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Real Estate Ownership; Commercial; Bad Axe, MI 48413; Not Investment Related; Jan 2001. Business Ownership; Advance Accounting Service; Owner; Tax Preparation (CPA); Bad Axe MI 48413; Not Investment Related; Feb 2014; 1-9 hours per month; 1-9 during trading hours/ Advance Service Group, LLC.; Owner/President; The primary function of this LLC is in the support of businesses I am affiliated with through payroll and other non-investment advisory and non-insurance ancillary services.; Bad Axe MI 48413; Not Investment Related; Sep 2014; 1-9 hours per month; 0 during trading hours. Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thaddeus Dwight Phelps's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2005

ChFC^®

Chartered Financial Consultant

Experience

Current

May 13, 2019 - Present

ADVANCE WEALTH MANAGEMENT SERVICE, LLC

Office #1: 40 Pearl Street Nw Suite 800, Grand Rapids, MI 49503

RIA

CRD#: 301780

GRAND RAPIDS, MI

Past

June 25, 2010 - May 14, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BAD AXE, MI

Past

January 14, 1998 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 14, 1998 - May 14, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BAD AXE, MI

Past

April 29, 1997 - November 24, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(5/13/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/29/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/1997

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 4/28/1997

Municipal Securities Representative Examination

Current Firm

ADVANCE WEALTH MANAGEMENT SERVICE, LLC

CRD#: 301780 / SEC#: 801-115284

RIA

Registered Investment Advisory firm - (11/14/2019 Terminated)

Michigan

Registered Investment Advisory firm - (11/12/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

40 Pearl Street Nw Suite 800, Grand Rapids, MI 49503

Mailing Address

Phone number

(616) 363-3209

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	536
AUM (Assets Under Management)	$ 78,617,789

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

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Thaddeus D. Phelps

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thaddeus Dwight Phelps's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/2016

Series 63

Date: 5/8/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/10/1997

Series 52

Date: 4/28/1997

Current Firm

ADVANCE WEALTH MANAGEMENT SERVICE, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADVANCE WEALTH MANAGEMENT SERVICE, LLC

TRUST BUT VERIFY

Contact information

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