Joseph Phelps
Investment adviser representative at UBS Financial Services Inc.
10 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- UBS Financial Services Inc.Sep 2025 to now
- UnemployedMay 2025 to Sep 2025
- JP Morgan Chase Bank, N.A.Oct 2023 to Apr 2025
- First Republic Securities Company, LLCAug 2023 to Oct 2023
- J.P. Morgan Securities LLCAug 2023 to Oct 2023
- UnemployedMay 2023 to Aug 2023
- Tulane UniversityAug 2022 to May 2023
- First Republic Investment Management, IncJun 2022 to Aug 2022
- Tulane UniversityAug 2021 to May 2022
- Tulane UniversityAug 2020 to May 2021
- SugarshotMay 2020 to Jul 2020
- Tulane UniversityAug 2019 to May 2020
- Griffin Club Los AngelesJun 2019 to Aug 2019
- Loyola High SchoolAug 2015 to Jun 2019
Exams passed
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 1 state (NJ).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7808152
- Firm CRD
- 8174