Scott T. Fleming
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.
Scott Thomas Fleming was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2005 - December 31, 2025
STONEBRIDGE ADVISORS LLC
May 22, 2003 - March 28, 2011
STONEBRIDGE ASSET MANAGEMENT,LLC
October 26, 1987 - December 20, 1999
SAMI BROKERAGE LLC
January 23, 1985 - August 15, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
STONEBRIDGE ADVISORS LLC
CRD#: 134017 / SEC#: 801-63899
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STONEBRIDGE ADVISORS LLC
CRD#: 134017 / SEC#: 801-63899
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,022 |
| AUM (Assets Under Management) | $ 10,834,964,323 |
Red Flags
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