Brian C. Phelan

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CRD#: 832753

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.

Brian Cawley Phelan, who also goes by Brian C Phelan, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1977. Brian had worked at 9 firms and has passed the Series 63, PC and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian C Phelan

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 7, 2013 - February 4, 2025

JULEX CAPITAL MANAGEMENT

RIA

CRD#: 166053

NATICK, MA

Past

November 26, 2009 - February 21, 2013

T CAPITAL FUNDING, LLC

CRD#: 128179

ALTAMONTE SPRINGS, FL

Past

January 3, 2007 - December 17, 2007

JEFFERIES LLC

CRD#: 2347

BOSTON, MA

Past

January 13, 2001 - July 5, 2006

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

BOSTON, MA

Past

November 17, 2000 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

August 3, 1987 - October 30, 1987

PAINEWEBBER REAL ESTATE SECURITIES INC.

CRD#: 19736

Past

April 7, 1981 - November 29, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 29, 1977 - April 16, 1981

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

January 3, 1977 - December 1, 1977

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

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".

JULEX CAPITAL MANAGEMENT

JULEX CAPITAL MANAGEMENT | JULEX CAPITAL MANAGEMENT, LLC

CRD#: 166053 / SEC#: 801-106823

RIA

Registered Investment Advisory firm - (10/28/2015 Approved)

Massachusetts

Registered Investment Advisory firm - (10/30/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/2/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 9/2/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 12/18/1976

General Securities Representative Examination

Current Firm

JULEX CAPITAL MANAGEMENT

JULEX CAPITAL MANAGEMENT | JULEX CAPITAL MANAGEMENT, LLC

CRD#: 166053 / SEC#: 801-106823

RIA

Registered Investment Advisory firm - (10/28/2015 Approved)

Massachusetts

Registered Investment Advisory firm - (10/30/2015 Terminated)

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Contact information

Main Address

209 West Central Street Suite 314, Natick, MA 01760

Mailing Address

Phone number

(781) 489-5279

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JULEX BROCHURE FYE 2024 (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1,611
AUM (Assets Under Management)	$ 335,703,957

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Brian C. Phelan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

T CAPITAL FUNDING, LLC

JEFFERIES LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

PAINEWEBBER REAL ESTATE SECURITIES INC.

UBS FINANCIAL SERVICES INC.

THOMSON MCKINNON SECURITIES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

Primary Firm SEC Registration

JULEX CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 5/2/1986

PC

Date: 9/2/1977

Series 7

Date: 12/18/1976

Current Firm

JULEX CAPITAL MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JULEX CAPITAL MANAGEMENT

TRUST BUT VERIFY

Contact information

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