David W. 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.
David Wilson Fleming was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1969. David had worked at 9 firms and has passed the Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 1990 - December 24, 1990
BISHOP, ROSEN & CO., INC.
July 20, 1990 - September 26, 1990
GRUNTAL & CO., L.L.C.
August 31, 1989 - February 20, 1990
BALIS & ZORN INC.
October 24, 1986 - January 11, 1988
PRUDENTIAL EQUITY GROUP, LLC
April 28, 1976 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
March 23, 1976 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
July 31, 1973 - April 4, 1976
TUCKER ANTHONY INCORPORATED
March 15, 1973 - October 29, 1986
MOSELEY SECURITIES CORPORATION
October 24, 1969 - September 8, 1973
KIDDER, PEABODY & CO., INCORPORATED
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
Series 1
Date: 5/11/1962
Registered Representative ExaminationSeries 40
Date: 12/28/1978
Registered Principal ExaminationSeries 12
Date: 3/15/1973
NYSE Branch Manager ExaminationCurrent Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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