Nicholas R. Fleming
Professional summary
Nicholas Richard Fleming was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Nicholas had worked at 5 firms, which includes AMERICAN INCOME SECURITIES, INCOME NETWORK COMPANY, UNITED INTERNATIONAL SECURITIES INC., ELLMAN & HOWE SECURITIES, REMINGTON SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 1998 - March 19, 1999
AMERICAN INCOME SECURITIES
August 22, 1994 - December 17, 1998
INCOME NETWORK COMPANY
January 16, 1991 - September 26, 1994
UNITED INTERNATIONAL SECURITIES, INC.
January 28, 1988 - February 26, 1988
ELLMAN & HOWE SECURITIES
November 11, 1985 - April 29, 1991
REMINGTON SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
AMERICAN INCOME SECURITIES
CRD#: 37476 / SEC#: , 8-47794
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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