Jamie L. Fleming

FLEMING & ASSOCIATES

SAN DIEGO, CA 92101

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CRD#: 2322013

Professional summary

Jamie Lea Fleming, CFP® is a registered financial advisor currently at FLEMING & ASSOCIATES, LLC located in San Diego, California.

Jamie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Jamie has worked at 11 firms and has passed the Series 66, Series 63 and Series 7 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.

Licensed Insurance Agent; Investment related - YES; 350 10th Ave., Ste. 1000, San Diego, CA. 92101; Description of the business: Through the financial planning process, insurance based products are discussed and offered to the client to include but not limited to, Life Insurance, Long Term Care and Annuities.; Position Title: Independent Agent; Responsibilities Duties: Review Clients needs via their financial plan to determine what client's needs are in terms of insurance based products. Research, review and discuss aspects of insurance based products with the client. Based on client's needs, comfortable level and understanding, implement insurance based products deemed to fulfill clients financial goals or based on discussion with the client, determine not to implement insurance based products based on client's comfort level, financial goals, cash flow, etc.; Start date with business: 1998-09-01; Hours devoted to business during trading hours: 10; Hours devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 50.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jamie Lea Fleming's 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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

December 8, 2005 - Present

FLEMING & ASSOCIATES, LLC

Office #1: 350 10th Ave. Ste 1000, San Diego, CA 92101

RIA

CRD#: 136620

SAN DIEGO, CA

Past

August 26, 2002 - October 19, 2004

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

SAN DIEGO, CA

Past

August 26, 2002 - October 19, 2004

GIRARD SECURITIES, INC.

CRD#: 18697

SAN DIEGO, CA

Past

April 20, 2001 - August 30, 2002

SPELMAN & CO., INC.

RIA

CRD#: 10232

SAN DIEGO, CA

Past

February 26, 2001 - August 30, 2002

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

November 7, 1997 - November 21, 2001

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

December 2, 1996 - November 11, 1997

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

NEW YORK, NY

Past

December 2, 1996 - November 11, 1997

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

NEW YORK, NY

Past

June 2, 1995 - November 12, 1996

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 2, 1995 - December 16, 1996

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

October 5, 1994 - May 30, 1995

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

January 27, 1994 - August 25, 1994

NEW DIMENSION FINANCIAL, INC.

CRD#: 30840

Past

March 8, 1993 - April 13, 1993

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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

California
(12/8/2005)

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 66

Date: 12/21/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/10/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/4/1993

General Securities Representative Examination

Current Firm

FLEMING & ASSOCIATES, LLC

CRD#: 136620 / SEC#:

California

Registered Investment Advisory firm - (12/8/2005 Approved)

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Contact information

Main Address

350 10th Ave. Ste 1000, San Diego, CA 92101

Mailing Address

Phone number

(619) 839-9136

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	294
AUM (Assets Under Management)	$ 49,107,689

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Jamie L. Fleming

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jamie Lea Fleming's CRS (Customer Relationship Summary).

Certified licenses

Experience

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

SPELMAN & CO., INC.

SPELMAN & CO., INC.

SENTRA SECURITIES CORPORATION

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

WS GRIFFITH SECURITIES, INC.

NEW DIMENSION FINANCIAL, INC.

CHATFIELD DEAN & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2004

Series 63

Date: 3/10/1993

Series 7

Date: 3/4/1993

Current Firm

FLEMING & ASSOCIATES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FLEMING & ASSOCIATES, LLC

TRUST BUT VERIFY

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