Jelani Ptah

CETERA INVESTMENT ADVISERS LLC

UNION, NJ 07083

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CRD#: 1811901

Professional summary

Jelani Ptah, who also goes by Jeffrey A Fleming, Jeffrey Alan Fleming, Jelani Fleming, Ptah Fleming, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Union, New Jersey and CETERA FINANCIAL SPECIALISTS LLC located in Union, New Jersey.

Jelani is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Jelani has worked at 8 firms and has passed the Series 63, SIE, Series 62, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey A Fleming | Jeffrey Alan Fleming | Jelani Fleming | Ptah 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) FINESSE FINANCIAL SERVICES, INC; ROSELLE, NJ; INV REL; ACCOUNTING, TAX PREP, & INVESTMENT PRACTICE FOR GFSC/GFAC; PRESIDENT SINCE 8/1988; 120 HRS/MTH: 2) JELANI PTAH E&J REALTY GROUP; NOT INV RELATED; ROSELLE, NJ; LICENSED REAL ESTATE BROKER; REPRESENT BUYERS AND SELLERS IN REALTY TRANSACTIONS; CORPORATION; 25HRS/WK; SEASONAL; SINCE 10/1998; 20-25 HRS/WK: 3) LIFE INSURANCE AGENT; NOT INV REL; ROSELLE, NJ; AGENT; RECEIVE RENEWALS ON LIFE INSURANCE; SINCE 1998; 0 HR/WK: 4) HEALTH INSURANCE AGENT; NOT INV REL; ROSELLE, NJ; AGENT; SELLS AND RECEIVES RENEWALS FOR HORIZON BLUE CROSS HEALTH INSURANCE; SINCE 08/1988; 0 HRS/WK: 5) JELANI PTAH; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; RENTAL PROPERTY; START 8/1994; 3 TO 4 HOURS/WEEK AFTER TRADING HOURS; 2 MULTI-FAMILY RENTAL PROPERTIES 6) JELANI PTAH; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; NOTARY PUBLIC; SINCE 2008

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jelani Ptah'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

October 24, 2005 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 934 Stuyvesant Avenue, Union, NJ 07083

RIA

CRD#: 105644

UNION, NJ

Current

October 24, 2005 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 934 Stuyvesant Avenue, Union, NJ 07083

CRD#: 10358

UNION, NJ

Past

February 7, 2005 - October 24, 2005

C.J.M. ASSET MANAGEMENT, LLC

RIA

CRD#: 111302

POMPTON LAKES, NJ

Past

January 12, 2005 - October 24, 2005

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

June 23, 2000 - December 31, 2004

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

January 5, 1998 - December 31, 2004

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

ROSELLE, NJ

Past

October 18, 1996 - June 23, 2000

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

September 26, 1996 - October 18, 1996

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

Past

November 11, 1991 - October 3, 1996

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

April 13, 1989 - June 26, 1991

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

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
(5/17/2022)

Georgia
(2/18/2020)

New Jersey
(10/24/2005)

IAR

New Jersey
(10/24/2005)

New York
(10/24/2005)

North Carolina
(5/3/2023)

Pennsylvania
(4/23/2024)

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

Series 63

Date: 11/7/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 6/26/1998

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 4/12/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/4/1999

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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Jelani Ptah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jelani Ptah's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

C.J.M. ASSET MANAGEMENT, LLC

C. J. M. PLANNING CORP.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

ADVANTAGE CAPITAL CORPORATION

ADVANTAGE CAPITAL CORPORATION

GUARDIAN INVESTOR SERVICES LLC

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/7/1991

SIE

Date: 10/1/2018

Series 62

Date: 6/26/1998

Series 6

Date: 4/12/1989

Series 24

Date: 12/4/1999

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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