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RP

Richard H. Phelan

LINCOLN FINANCIAL DISTRIBUTORS
Fort Wayne, IN 46802
Some features on this profile are disabled
CRD#: 3158650
RP

Professional summary

Richard Hale Phelan is a registered financial professional currently at LINCOLN FINANCIAL DISTRIBUTORS, INC. located in Fort Wayne, Indiana.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2005. Richard has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Hale Phelan'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®
None

Experience

Current

May 1, 2024 - Present

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Office #1: 1301 S Harrison Street, Fort Wayne, IN 46802
BD
CRD#: 145
Fort Wayne, IN
Past

March 23, 2016 - May 2, 2024

OSAIC FA, INC.

RIA
CRD#: 3978
INDIALANTIC, FL
Past

March 22, 2016 - May 1, 2024

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

October 14, 2015 - March 15, 2016

FIRSTWAVE FINANCIAL

RIA
CRD#: 111044
SATELLITE BEACH, FL
Past

November 13, 2009 - August 28, 2015

OSAIC FA, INC.

RIA
CRD#: 3978
INDIALANTIC, FL
Past

November 9, 2009 - August 28, 2015

OSAIC FA, INC.

BD
CRD#: 3978
INDIALANTIC, FL
Past

June 24, 2005 - July 17, 2009

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA
CRD#: 108958
TAMPA, FL
Past

February 18, 2005 - July 17, 2009

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
TAMPA, FL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(5/3/2024)
RR
Indiana
(5/1/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/16/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/17/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LINCOLN FINANCIAL DISTRIBUTORS, INC.
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CG EQUITY SALES COMPANY | SAGEMARK CONSULTING, INC. | LINCOLN FINANCIAL DISTRIBUTORS, INC. | CIGNA SECURITIES, INC. | CIGNA FINANCIAL ADVISORS,INC.

CRD#: 145 / SEC#: , 8-13431

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
130 N Radnor-chester Rd, Radnor, PA 19087
Mailing Address
130 N Radnor-chester Rd, Radnor, PA 19087
Phone number
(484) 583-6000
Established
Connecticut since 08/03/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE LINCOLN NATIONAL LIFE INSURANCE COMPANYSHAREHOLDER
CHRYSSIKOS, PAUL TELEMACSENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER7263748
FALLER, DANIEL TSENIOR VICE PRESIDENT, HEAD OF LFD FINANCE6006570
GIBSON, JASON MICHAELVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION3081880
KENNEDY, JOHN CHRISTOPHERPRESIDENT AND CHIEF EXECUTIVE OFFICER2213083
NEPA, JARED M.SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION5157819
OMORUYI, MEGAN VOGTAVP, FINANCIAL AND OPERATIONS PRINCIPAL7803022
SEIFERT, TIMOTHY JOHNSENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION1577571
SMITH, NANCYSECRETARY6140078

Disclosures

Regulatory Event3

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.

Company Information

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145Fort Wayne, IN 46802

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