GF
Gary L. Fleming
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CRD#: 1267968
GF
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary L Fleming SR, who also goes by Gary Lee Fleming Sr, Gary Lee Fleming, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1984. Gary had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gary Lee Fleming Sr | Gary Lee Fleming
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Business Name: Fleming Financial Services, Inc. Investment Related: Yes Address: 1106 Ohio River Boulevard, Suite 603 Sewickley PA 15143 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Owner, chairman Start Date: 1/1/1991 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: All activities associated with registered rep, insurance Business Name: Gary Fleming Investment Related: No Address: 1106 Ohio River Boulevard, Suite 603 Sewickley PA 15143 Nature of Business: Real Estate Position, Title or Relationship: Owner of property Start Date: 7/1/2011 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Rent, maintain office property, utilities Business Name: Gary Fleming CLU & Associates Investment Related: Yes Address: 1106 Ohio River Boulevard, Suite 603 Sewickley PA 15143 Nature of Business: Insurance Position, Title or Relationship: Owner, sales, administration Start Date: 9/1/1975 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Sales, service of fixed insurance products Business Name: Gary L Fleming Investment Related: Yes Address: 1106 Ohio River Boulevard, Suite 603 Sewickley PA 15143 Nature of Business: Real Estate Position, Title or Relationship: Owner of the office property Start Date: 11/1/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Collect rent, maintain property Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: Fleming Financial Services, Inc. Investment Related: Yes Address: 1106 Ohio River Boulevard, Suite 603 Sewickley PA 15143 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Real Estate Position, Title or Relationship: Owner, Chairman Start Date: 1/1/1991 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: All activities associated with registered rep, insurance Business Name: Family Financial Solutions Investment Related: Yes Address: 1106 Ohio River Boulevard, Suite 603 Sewickley PA 15143 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Registered Rep Start Date: 10/1/2018 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Assist clients with financial advisory Business Name: GARY L FLEMING POSITION: Owner of the office property NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 11/01/2012 ADDRESS: 1106 Ohio River Boulevard, Suite 603, Sewickley PA 15143, United States DESCRIPTION: Collect rent, maintain property
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 18, 2016 - June 9, 2023
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
SEWICKLEY, PA
Past
March 6, 2009 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SEWICKLEY, PA
Past
October 5, 2005 - June 9, 2023
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SEWICKLEY, PA
Past
August 1, 1990 - October 7, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
July 3, 1984 - August 2, 1990
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
