Daniel K. Phelps

OXFORD CAPITAL

WEST LAFAYETTE, IN 47906

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CRD#: 5033909

Professional summary

Daniel Kenneth Phelps is a registered financial advisor currently at OXFORD CAPITAL located in West Lafayette, Indiana.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Daniel has worked at 6 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Kenneth 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

September 13, 2024 - Present

OXFORD CAPITAL

Office #1: 1282 Win Hentschel Blvd. Suite 1300, West Lafayette, IN 47906

RIA

CRD#: 333156

WEST LAFAYETTE, IN

Past

June 1, 2012 - November 8, 2018

SPANISH PEAKS CAPITAL MANAGEMENT

RIA

CRD#: 160531

BIG SKY, MT

Past

December 19, 2009 - December 2, 2011

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

December 18, 2009 - December 2, 2011

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CINCINNATI, OH

Past

March 14, 2008 - September 30, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CLINTON TOWNSHIP, MI

Past

March 14, 2008 - September 30, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CLINTON TOWNSHIP, MI

Past

October 24, 2006 - February 1, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DETROIT, MI

Past

September 28, 2006 - February 1, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DETROIT, MI

Past

January 1, 2006 - May 22, 2006

HANTZ FINANCIAL SERVICES, INC.

CRD#: 46047

SOUTHFIELD, 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

Indiana
(9/13/2024)

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

IAR

Series 65

Date: 8/16/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/23/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/22/2005

General Securities Representative Examination

Current Firm

OXFORD CAPITAL

OXFORD CAPITAL | OXFORD CAPITAL MANAGEMENT LLC

CRD#: 333156 / SEC#:

Indiana

Registered Investment Advisory firm - (9/13/2024 Approved)

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Contact information

Main Address

1282 Win Hentschel Blvd. Suite 1300, West Lafayette, IN 47906

Mailing Address

Phone number

(313) 475-2013

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 1,200,000

Red Flags

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

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Daniel K. Phelps

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Kenneth Phelps's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPANISH PEAKS CAPITAL MANAGEMENT

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HANTZ FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/16/2024

Series 66

Date: 10/23/2006

Series 7

Date: 12/22/2005

Current Firm

OXFORD CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OXFORD CAPITAL

TRUST BUT VERIFY

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