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Mary Kathryn Phelps

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Type: Registered Representative

Mary Phelps is a financial professional at J.P. Morgan Securities LLC, a broker-dealer with over 26,700 registered representatives nationwide. Mary has held an industry securities registration for 11 years and is subject to FINRA oversight.

Advisor Timeline

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J.P. Morgan Securities LLC 2 years, 2 months Oct 2012 - Present
Chase Investment Services Corp. 12 years, 2 months Aug 2000 - Oct 2012
Chase Bank 39 years, 10 months Mar 1975 - Present
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

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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

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

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

Licenses and Conduct

License Status

No Disclosures Found

As of Date
*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