John M. Phelan
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 M Phelan Jr, who also goes by John M Phelan Jr, John Murphy Phelan Jr, John Murphy Phelan, John M Phelan Jr, John M Phelan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 16 firms and has passed the Series 65, Series 66, Series 63, SIE 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
July 14, 2021 - December 31, 2022
BROGAN GROUP INVESTMENT ADVISORS LLC
February 26, 2018 - July 24, 2019
EDWARD JONES
February 23, 2018 - July 24, 2019
EDWARD JONES
March 27, 2017 - April 18, 2017
TD AMERITRADE, INC.
March 27, 2017 - April 18, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 27, 2017 - April 18, 2017
TD AMERITRADE, INC.
January 8, 2016 - September 6, 2016
NEUBERGER BERMAN BD LLC
January 8, 2016 - September 6, 2016
NEUBERGER BERMAN BD LLC
October 12, 2012 - July 31, 2015
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
June 29, 2012 - July 31, 2015
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
July 20, 2009 - June 29, 2012
PACIFIC SELECT DISTRIBUTORS, LLC
December 17, 2007 - December 31, 2008
COREBRIDGE CAPITAL SERVICES, INC.
February 15, 2006 - December 12, 2007
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
November 16, 2005 - December 12, 2007
NYLIFE DISTRIBUTORS LLC
June 21, 2005 - October 27, 2005
MERRILL LYNCH INVESTMENT MANAGERS LP
December 10, 2004 - October 27, 2005
FAM DISTRIBUTORS, INC.
February 2, 2004 - November 10, 2004
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 4, 2003 - November 3, 2003
CITICORP INVESTMENT SERVICES
September 7, 2000 - June 25, 2003
MORGAN STANLEY DW INC.
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
BROGAN GROUP INVESTMENT ADVISORS LLC
CRD#: 151924 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 125,000 |
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.
