Gregory J. Fleming
Professional summary
Gregory James Fleming, who also goes by Gregory J Fleming, is a registered financial professional currently at ROCKEFELLER FINANCIAL LLC located in New York, New York.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1993. Gregory has worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory James Fleming's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2018 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza Floor 5, New York, NY 10111January 18, 2017 - November 14, 2018
AXIOM CAPITAL MANAGEMENT, INC.
January 27, 2011 - July 25, 2016
MORGAN STANLEY
March 11, 2010 - March 24, 2011
MORGAN STANLEY DISTRIBUTORS INC.
March 11, 2010 - July 25, 2016
MORGAN STANLEY DISTRIBUTION, INC.
March 11, 2010 - July 25, 2016
MORGAN STANLEY & CO. LLC
January 2, 2009 - February 9, 2009
BANC OF AMERICA SECURITIES LLC
June 10, 2008 - February 9, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 1993 - February 9, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/16/2018)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
