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Mary Kathryn Phelps

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Information

Firm:
Type: Registered Representative
Description

Mary Phelps is a financial professional at J.P. Morgan Securities LLC, a broker-dealer with over 28,500 registered representatives nationwide. Mary has held an industry securities registration for 11 years and is subject to FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
J.P. Morgan Securities LLC 1 year, 9 months Oct 2012 - Present
Chase Investment Services Corp. 12 years, 2 months Aug 2000 - Oct 2012
Chase Bank 39 years, 5 months Mar 1975 - Present
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 12/29/2003
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 04/30/2002

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Mary Kathryn Phelps has not answered any questions on Financial Q&A.

Top Guides

Mary Kathryn Phelps has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Other Pooled Investment Vehicles
Other
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
09/26/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Performance-based Fees