Scott T. Fleming

STONEBRIDGE ADVISORS LLC

WILTON, CT 06897

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CRD#: 1326991

Professional summary

Scott Thomas Fleming is a registered financial advisor currently at STONEBRIDGE ADVISORS LLC located in Wilton, Connecticut.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Scott has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Thomas 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®

None

Experience

Current

March 15, 2005 - Present

STONEBRIDGE ADVISORS LLC

Office #1: 187 Danbury Road, Wilton, CT 06897

RIA

CRD#: 134017

WILTON, CT

Past

May 22, 2003 - March 28, 2011

STONEBRIDGE ASSET MANAGEMENT,LLC

RIA

CRD#: 125155

WILTON, CT

Past

October 26, 1987 - December 20, 1999

SAMI BROKERAGE LLC

CRD#: 18217

STAMFORD, CT

Past

January 23, 1985 - August 15, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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".

STONEBRIDGE ADVISORS LLC

CRD#: 134017 / SEC#: 801-63899

RIA

Registered Investment Advisory firm - (2/18/2005 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(3/15/2005)

IAR

Texas
(10/29/2007)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/30/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/20/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/23/1987

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/8/1987

General Securities Principal Examination

Current Firm

STONEBRIDGE ADVISORS LLC

CRD#: 134017 / SEC#: 801-63899

RIA

Registered Investment Advisory firm - (2/18/2005 Approved)

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Contact information

Main Address

10 Westport Road Suite C101, Wilton, CT 06897-4543

Mailing Address

Phone number

(203) 762-0004

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2024 ADV-2A (3/21/2025)

2023 ADV PART 2B COMBINED (3/21/2025)

Regulatory assets under management

Total Number of Accounts	4,022
AUM (Assets Under Management)	$ 10,834,964,323

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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Scott T. Fleming

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Thomas Fleming's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEBRIDGE ASSET MANAGEMENT,LLC

SAMI BROKERAGE LLC

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

STONEBRIDGE ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/2003

Series 63

Date: 12/30/1986

Series 3

Date: 11/20/1987

Series 7

Date: 1/19/1985

Series 27

Date: 10/23/1987

Series 24

Date: 6/8/1987

Current Firm

STONEBRIDGE ADVISORS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONEBRIDGE ADVISORS LLC

TRUST BUT VERIFY

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