John E. Fleming

CETERA INVESTMENT ADVISERS LLC

ALTOONA, PA 16602

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CRD#: 1284986

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

Are you a "fiduciary"?

Yes

Aliases

Jeff 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.

1. NARCISSUS; OWNER; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE 01/23/1998 2. PRINCETON DEVELOPMENT GROUP, LLC; PARTNER; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE 09/27/2005 3. VIP FINANCIAL MATTERS (INSURANCE); AGENT; INSURANCE (FIXED/LIFE/HEALTH/P&C); START DATE 05/05/2005. 4. V.I.P TAX MATTERS LLC; SOLE MEMBER; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE 10/15/2012; 4 HOURS PER MONTH. 5. V.I.P TAX MATTERS LLC; SOLE MEMBER; DBA (ONLY OFFERS FIRST ALLED PRODUCTS/SERVICES); START DATE 05/05/2005; 160 HOURS PER MONTH. 6. 1902 MARKET SQUARE, LP; MANAGER; START DATE 01/01/2008; 0 HOURS PER MONTH. 7. 1902 MANAGEMENT LLC; MEMBER; HOLDING COMPANY OR TAX/BILL PAYMENT ENTITY; START DATE: 01/01/2008; O HOURS PER MONTH. 8. SYLVAN EAST HEIGHTS, LLC; PARTNER; REAL ESTATE(AGENT/BROKER/DEVELOPER); START DATE 05/01/2018; 20 HOURS PER WEEK. 9. LAW AND MONEY MATTERS DBA FLEMING LAW OFFICE, PLLC; ATTORNEY; ATTORNEY/PARALEGAL/NOTARY SERVICES; START DATE: 08/01/2021; 160 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Edward Fleming's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1996

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1401 9th Avenue, Altoona, PA 16602

RIA

CRD#: 105644

ALTOONA, PA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 1401 9th Avenue, Altoona, PA 16602

CRD#: 10299

ALTOONA, PA

Past

January 28, 2016 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Altoona, PA

Past

January 28, 2016 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

ALTOONA, PA

Past

October 17, 2007 - January 29, 2016

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

ALTOONA, PA

Past

October 17, 2007 - January 29, 2016

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

ALTOONA, PA

Past

July 20, 2005 - October 24, 2007

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

ALTOONA, PA

Past

June 1, 1998 - August 3, 2005

HANCOCK CAPITAL MANAGEMENT, INC.

RIA

CRD#: 122520

ALTOONA, PA

Past

October 25, 1994 - July 28, 2005

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

May 4, 1994 - September 8, 1994

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

July 27, 1992 - June 9, 1993

JARON EQUITIES CORP.

CRD#: 5764

HICKSVILLE, NY

Past

April 1, 1991 - July 15, 1993

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

January 6, 1988 - November 19, 1990

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

August 12, 1985 - October 8, 1987

SIGNATOR INVESTORS, INC.

CRD#: 468

Past

August 21, 1984 - June 3, 1985

FINANCIAL ESTATE PLANNING, INC.

CRD#: 287

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/3/2024)

Arizona
(9/8/2022)

California
(4/24/2025)

Colorado
(4/8/2025)

Connecticut
(9/8/2022)

Florida
(9/8/2022)

Indiana
(1/6/2025)

Maryland
(9/8/2022)

Massachusetts
(9/8/2022)

New Jersey
(9/8/2022)

New York
(9/8/2022)

North Carolina
(9/8/2022)

Ohio
(9/8/2022)

IAR

Pennsylvania
(11/12/2020)

Pennsylvania
(9/8/2022)

South Carolina
(4/14/2023)

Tennessee
(9/8/2022)

IAR

Texas
(11/12/2020)

Texas
(9/8/2022)

Virginia
(9/8/2022)

West Virginia
(11/20/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/24/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/23/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

John E. Fleming

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Edward Fleming's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

KESTRA INVESTMENT SERVICES, LLC

HANCOCK CAPITAL MANAGEMENT, INC.

PRINCIPAL SECURITIES, INC.

CADARET, GRANT & CO., INC.

JARON EQUITIES CORP.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

MUTUAL SERVICE CORPORATION

SIGNATOR INVESTORS, INC.

FINANCIAL ESTATE PLANNING, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/1997

Series 63

Date: 9/11/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 24

Date: 3/23/2000

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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