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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

CHARLES PHELPS

Advisor at STRATEGIC ADVISERS LLC

ALBUQUERQUE, NM

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Search this name across graphsid dfx:ria:fe323c76-23d4-89f8-ab74-cd3206f64349

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 17, 2020 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 18, 2019
First registration: Jan 17, 2020
Dual registered: yes, broker-dealer
Other names: Charles W Phelps|Charles W Phelps|CHARLES PHELPS|CHARLES WILBUR PHELPS|CHARLES WILBUR PHELPS
IAPD individual key: 7008886

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	ALBUQUERQUE, NM\|ALBUQUERQUE, NM	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jun 29, 2022	Mar 31, 2025	no	ALBUQUERQUE, NM	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Apr 2, 2021	May 8, 2022	no	Albuquerque, NM\|Plymouth, MN\|Albuquerque, NM\|Albuquerque, NM	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jan 27, 2020	Jan 11, 2021	no	Honolulu, HI	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jan 17, 2020	Dec 31, 2020	no	Honolulu, HI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
J.P. MORGAN SECURITIES LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	May 8, 2022	Jun 29, 2022	52	Firm change	Wirehouse to ibd
TD AMERITRADE, INC.	J.P. MORGAN SECURITIES LLC	Jan 11, 2021	Apr 2, 2021	81	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 31, 2020	Jan 27, 2020	-339	Bulk transfer	Other

Relationships

Registered with (5)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jun 29, 2022 to Mar 31, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Apr 2, 2021 to May 8, 2022factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jan 27, 2020 to Jan 11, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 17, 2020 to Dec 31, 2020factForm ADV

Dated events

Occurred
May 8, 2022
Advisor changed firm
Charles Phelps left J.P. Morgan Securities Llc for Fidelity Personal And Workplace Advisors (registered 2022-06-29)
Form ADVobserved 5 days ago