John E. Fleming
Professional summary
John Edward Fleming, CFP®, ChFC®, CLU®, who also goes by Jeff Fleming, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Altoona, Pennsylvania and CETERA ADVISORS LLC located in Altoona, Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. John has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Edward Fleming's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1996
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1401 9th Avenue, Altoona, PA 16602September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1401 9th Avenue, Altoona, PA 16602January 28, 2016 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
January 28, 2016 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
October 17, 2007 - January 29, 2016
1ST GLOBAL ADVISORS INC
October 17, 2007 - January 29, 2016
1ST GLOBAL CAPITAL CORP.
July 20, 2005 - October 24, 2007
KESTRA INVESTMENT SERVICES, LLC
June 1, 1998 - August 3, 2005
HANCOCK CAPITAL MANAGEMENT, INC.
October 25, 1994 - July 28, 2005
PRINCIPAL SECURITIES, INC.
May 4, 1994 - September 8, 1994
CADARET, GRANT & CO., INC.
July 27, 1992 - June 9, 1993
JARON EQUITIES CORP.
April 1, 1991 - July 15, 1993
AMERICAN GENERAL EQUITY SERVICES CORPORATION
January 6, 1988 - November 19, 1990
MUTUAL SERVICE CORPORATION
August 12, 1985 - October 8, 1987
SIGNATOR INVESTORS, INC.
August 21, 1984 - June 3, 1985
FINANCIAL ESTATE PLANNING, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2022)
(4/24/2025)
(4/8/2025)
(9/8/2022)
(1/20/2026)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(11/12/2020)
(9/8/2022)
(4/14/2023)
(9/8/2022)
(11/12/2020)
(9/8/2022)
(9/8/2022)
(11/20/2023)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
