Douglas A. Phelps

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CRD#: 852015

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.

Douglas Alan Phelps was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1978. Douglas had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

April 21, 2021 - December 14, 2021

INVESTMENT RESEARCH CORP

RIA

CRD#: 108208

Grants Pass, OR

Past

April 21, 2021 - December 14, 2021

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37

DENVER, CO

Past

August 20, 2019 - December 17, 2020

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

White City, OR

Past

August 20, 2019 - December 17, 2020

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Grants Pass, OR

Past

February 16, 2017 - August 22, 2019

BANKERS LIFE ADVISORY SERVICES, INC.

RIA

CRD#: 281285

Eugene, OR

Past

May 26, 2016 - August 22, 2019

BANKERS LIFE SECURITIES, INC.

CRD#: 173962

Eugene, OR

Past

June 2, 2010 - May 27, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

MEDFORD, OR

Past

June 1, 2010 - May 26, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

MEDFORD, OR

Past

January 27, 2010 - May 21, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

MEDFORD, OR

Past

January 27, 2010 - May 21, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

MEDFORD, OR

Past

April 11, 2007 - December 31, 2009

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

RENTON, WA

Past

June 19, 2000 - December 31, 2009

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

GRANTS PASS, OR

Past

January 2, 1991 - July 19, 2000

PACIFIC HARBOR SECURITIES, INC.

CRD#: 8755

HIGHLAND, UT

Past

August 25, 1989 - January 2, 1991

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

March 21, 1988 - August 25, 1989

PFG SECURITIES, INC.

CRD#: 15401

Past

July 31, 1985 - March 29, 1988

GREENFIELD/CAMPBELL, INC.

CRD#: 7401

PORTLAND, OR

Past

July 11, 1983 - August 20, 1985

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

May 9, 1978 - July 25, 1983

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

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".

INVESTMENT RESEARCH CORP

INVESTMENT RESEARCH CORP | WORLD CAPITAL BROKERAGE ADVISORY SERVICES

CRD#: 108208 / SEC#: 801-8599

RIA

Registered Investment Advisory firm - (4/26/1972 Approved)

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

IAR

Series 65

Date: 3/30/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 5/1/1978

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/28/1989

General Securities Principal Examination

Current Firm

INVESTMENT RESEARCH CORP

INVESTMENT RESEARCH CORP | WORLD CAPITAL BROKERAGE ADVISORY SERVICES

CRD#: 108208 / SEC#: 801-8599

RIA

Registered Investment Advisory firm - (4/26/1972 Approved)

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Contact information

Main Address

1636 North Logan Street, Denver, CO 80203

Mailing Address

Phone number

(303) 626-0634

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IRC BROCHURE (3/6/2025)

IRC WRAP BROCHURE (3/6/2025)

Regulatory assets under management

Total Number of Accounts	177
AUM (Assets Under Management)	$ 63,421,004

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

Douglas A. Phelps

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WORLD CAPITAL BROKERAGE, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

PACIFIC HARBOR SECURITIES, INC.

FIRST AFFILIATED SECURITIES

PFG SECURITIES, INC.

GREENFIELD/CAMPBELL, INC.

CETERA WEALTH SERVICES, LLC

SOUTHMARK FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

INVESTMENT RESEARCH CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2007

Series 63

Date: 7/28/1989

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1989

Series 1

Date: 5/1/1978

Series 24

Date: 7/28/1989

Current Firm

INVESTMENT RESEARCH CORP

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTMENT RESEARCH CORP

TRUST BUT VERIFY

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