Michael J. 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.
Michael Joseph Fleming JR, who also goes by Michael Fleming, Mike Fleming Jr, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 4 firms and has passed the Series 63, Series 65, Series 7 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
December 11, 1997 - October 1, 1998
RIDGEMONT SECURITIES, INC.
June 23, 1993 - March 3, 1994
MAIN STREET CAPITAL CORPORATION
February 17, 1988 - January 9, 1990
ADVEST, INC.
November 25, 1987 - March 9, 1993
J.P. MORGAN SECURITIES LLC
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
RIDGEMONT SECURITIES, INC.
CRD#: 15253 / SEC#: , 8-31916
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VERA, MELISSA BURR | SECRETARY / FINANCIAL OPERATIONS PRINCIPAL | 2557422 |
| CLINE, KEVIN LEE | PRESIDENT |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
