Mark Phelps, financial advisor Cincinnati OH
81 score

Mark Phelps

CRD Number: 1948590
Current Firm: Transamerica Financial Advisors, Inc.

Mark Phelps (CRD# 1948590) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Cincinnati, OH and has over 27 years of experience in the finance industry.

Similar Advisors
Timothy Guthrie, CFP, financial advisor Cincinnati OH
Timothy R. Guthrie, CFP
CRD# 1989045
Bullseye Investment Management, LLC
Score
108
Similar Advisors
James Owens, financial advisor Cincinnati OH
James W. Owens
CRD# 4780124
Lang Advisors LLC
Score
106
Similar Advisors
Nathan Bishop, CFA, financial advisor Cincinnati OH
Nathan A. Bishop, CFA
CRD# 5594136
Opus Capital Group, LLC
Score
103
Company Name Location Dates Years
Walmart Supercenter Amelia, OH Jul 2014 - Current 2
Gold Key Realty Company, Inc. Miamisburg, OH May 2014 - Current 2
Great Miami Valley Ymca Fairfield, OH Jan 2014 - Current 2
Resolution Benefits Design, LLC Overland Park, KS Jun 2012 - Current 4
Transamerica Financial Advisors, Inc. Cincinnati, OH Jan 2012 - Current 4
Wfg Cincinnati, OH Mar 2009 - Current 7
The Phelps Team, LLC Monroe, OH Aug 2005 - Current 11
Sibcy Cline Realtors Monroe, OH Feb 2009 - Aug 2013 4
Investment Advisors International, Inc. Cincinnati, OH Aug 2010 - Jan 2012 1
Wgs Cincinnati, OH Aug 2009 - Jan 2012 2
Aflac Hamilton, OH Aug 2008 - Jan 2010 1
Schwan Food Company Middletown, OH Dec 2008 - Jul 2009 < 1
Re/max Central Properties Springboro, OH Mar 2006 - Feb 2009 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1989
S65 NASAA Investment Advisors Law Examination Jun 2010
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Mark E. Phelps
Phone Number: 727-299-1800
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    4,493
    MILLIONS
  • Total Number of Accounts
    33,842
    ACCOUNTS
  • Average Account Value
    $132,767
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from Mark Phelps and other advisors.
BADGES
81

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.