Nicholas H. Phelps

PHELPS FINANCIAL ADVISORS

STATE COLLEGE, PA 16801

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CRD#: 4733213

Professional summary

Nicholas Harrison Phelps, who also goes by Nicholas Phelps, Nick Phelps, is a registered financial advisor currently at PHELPS FINANCIAL ADVISORS located in State College, Pennsylvania.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Nicholas has worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Phelps | Nick 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Harrison 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®

None

Experience

Current

December 4, 2024 - Present

PHELPS FINANCIAL ADVISORS

Office #1: 925 W College Ave, State College, PA 16801

RIA

CRD#: 158682

STATE COLLEGE, PA

Past

January 26, 2006 - July 6, 2011

NATIONWIDE SECURITIES, LLC

CRD#: 11173

STATE COLLEGE, PA

Past

January 1, 2004 - January 5, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

STATE COLLEGE, PA

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

Pennsylvania
(12/4/2024)

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

Series 63

Date: 12/27/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/20/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PHELPS FINANCIAL ADVISORS

PHELPS FINANCIAL ADVISORS | PHELPS, NICHOLAS H.

CRD#: 158682 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (8/12/2011 Approved)

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Contact information

Main Address

925 W College Ave, State College, PA 16801

Mailing Address

Phone number

(814) 380-0651

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nicholas H. Phelps

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Harrison Phelps's CRS (Customer Relationship Summary).

Certified licenses

Experience

PHELPS FINANCIAL ADVISORS

NATIONWIDE SECURITIES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/27/2003

Series 6

Date: 12/20/2003

Current Firm

PHELPS FINANCIAL ADVISORS

Contact information

Documents

Red Flags

Company Information

PHELPS FINANCIAL ADVISORS

TRUST BUT VERIFY

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