Robert Dale Phelps

CRD 1275411 · Morgan Stanley · Louisville, KY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63SIESeries 7Series 22Series 6
Registered states (34): Alabama · Arizona · California · Colorado · Connecticut · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kentucky · Maine · Maryland · Massachusetts · Michigan · Mississippi · Missouri · Nebraska · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Virginia · West Virginia
Years in the industry (source record): 42
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (6)

From the source registration record · current first

Morgan StanleyCurrent
Louisville, KY · IA capacity

Oct 17, 2014 → present
Ubs Financial Services Inc.
IA capacity

May 3, 2001 → Oct 27, 2014
Ubs Financial Services Inc.
BD capacity

Aug 14, 2000 → Oct 27, 2014
J.C. Bradford & Co.
BD capacity

Nov 24, 1999 → Aug 14, 2000
Advantage Capital Corporation
BD capacity

Aug 15, 1994 → Nov 3, 1999
Travelers Equities Sales, Inc.
BD capacity

Jul 2, 1984 → Aug 15, 1994

Source & corrections

Where this page comes from

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