Ann G. Phelps
Professional summary
Ann Gay Phelps was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ann is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Ann had worked at 5 firms, which includes OMNIVEST INC., UBS FINANCIAL SERVICES INC., AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 1988 - March 29, 2012
OMNIVEST, INC.
December 12, 1983 - May 12, 1988
UBS FINANCIAL SERVICES INC.
August 25, 1980 - April 5, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
August 25, 1980 - April 5, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
August 25, 1980 - April 5, 1982
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 8/13/1980
Registered Representative ExaminationSeries 28
Date: 8/16/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
OMNIVEST, INC.
CRD#: 13396 / SEC#: , 8-29259
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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