John V. Fleming
Professional summary
John V Fleming, who also goes by John VIncent Fleming, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Edison, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 1986. John has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John V Fleming's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 21, 2012 - Present
NYLIFE SECURITIES LLC
Office #1: 379 Thornall Street Fl 8, Edison, NJ 08837July 31, 2008 - November 15, 2010
GROVE POINT INVESTMENTS, LLC
December 1, 2006 - December 20, 2006
QUESTAR CAPITAL CORPORATION
March 28, 2005 - December 1, 2006
USALLIANZ SECURITIES, INC.
June 16, 1986 - April 29, 2004
METROPOLITAN LIFE INSURANCE COMPANY
June 16, 1986 - April 29, 2004
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/21/2012)
(6/11/2014)
(11/11/2013)
Exams
FINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
