Michael Randall Phelps | Financial Professional | Newport Beach, California

Professional summary

Michael Randall Phelps, who also goes by Michael R Phelps, Michael Phelps, is a registered financial advisor currently at CORIENT located in Newport Beach, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Michael has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael R Phelps | Michael Phelps

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.

I serve as an individual trustee for a client(s) of Corient. Acting as a trustee may present a potential conflict of interest. This relationship is disclosed in accordance with Corient's policies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Randall Phelps's CRS (Customer Relationship Summary).

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

November 14, 2022 - Present

CORIENT

Office #1: 500 Newport Center Drive Suite 700, Newport Beach, CA 92660

RIA

CRD#: 319448

NEWPORT BEACH, CA

Past

September 28, 2015 - May 25, 2016

PURSHE KAPLAN STERLING INVESTMENTS

BD

CRD#: 35747

Newport Beach, CA

Past

September 25, 2015 - March 31, 2023

CORIENT CAPITAL PARTNERS, LLC

RIA

CRD#: 170920

NEWPORT BEACH, CA

Past

January 19, 2004 - September 29, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWPORT BEACH, CA

Past

November 20, 2003 - September 29, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

NEWPORT BEACH, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CO

CORIENT

CRD#: 319448 / SEC#: 801-124978

RIA

Registered Investment Advisory firm - (5/12/2022 Approved)

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

California
(11/14/2022)

IAR

Texas
(1/3/2025)

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

RR

IAR

Series 66

Date: 1/16/2004

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 5/25/2016

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 11/14/2003

General Securities Representative Examination

Current Firm

CO

CORIENT

CRD#: 319448 / SEC#: 801-124978

RIA

Registered Investment Advisory firm - (5/12/2022 Approved)

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Contact information

Main Address

830 Brickell Plaza Suite 4800, Miami, FL 33131

Mailing Address

830 Brickell Plaza Suite 4800, Miami, FL 33131

Phone number

(305) 735-2020

Established

Firm type

Fiscal year end

# of Employees

1,181

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CORIENT PRIVATE WEALTH (10/7/2025)

Regulatory assets under management

Total Number of Accounts	109,685
AUM (Assets Under Management)	$ 143,628,532,902

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/28/2024	Cover Page	Report
10/27/2023	Cover Page	Report
05/03/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Michael R. Phelps

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Randall Phelps's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CORIENT CAPITAL PARTNERS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CORIENT

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2004

SIE

Date: 5/25/2016

Series 7

Date: 11/14/2003

Current Firm

CORIENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CORIENT

TRUST BUT VERIFY

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