Brian P. Fleming

FARTHER

Leland, NC

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CRD#: 2671122

Professional summary

Brian Patrick Fleming, AIF®, ChFC®, CLU® is a registered financial advisor currently at FARTHER located in Leland, North Carolina.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Brian has worked at 8 firms and has passed the Series 65, Series 63, SIE 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.

1. 01/12/2010 - CJS SOLUTIONS, NON-VARIABLE INSURANCE, INDEPENDENT INSURANCE AGENCY SELLING FIXED INSURANCE PRODUCTS. 2% OF TIME SPENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Patrick Fleming'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®

AIF^®

Accredited Investment Fiduciary

ChFC^®

Chartered Financial Consultant

CRD#: 35747

WRIGHTSVILLE BEACH, NC

Past

December 19, 2007 - December 22, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

WRIGHTSVILLE BEACH, NC

Past

December 19, 2007 - December 22, 2010

LPL FINANCIAL LLC

CRD#: 6413

WRIGHTSVILLE BEACH, NC

Past

December 31, 2001 - December 20, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WILMINGTON, NC

Past

November 20, 1995 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 20, 1995 - December 20, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WILMINGTON, NC

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".

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(5/16/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/1995

General Securities Representative Examination

Current Firm

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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Contact information

Main Address

345 California Street Suite 600, San Francisco, CA 94104

Mailing Address

Phone number

(628) 246-8004

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)

FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts	24,245
AUM (Assets Under Management)	$ 7,523,810,877

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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Advisor Monitoring

Firm Stability Insights

Brian P. Fleming

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Patrick Fleming's CRS (Customer Relationship Summary).

Certified licenses

Experience

ZERMATT WEALTH PARTNERS

HAYDEN ROYAL

HAYDEN ROYAL

RS WEALTH MANAGEMENT, LLC

RS WEALTH MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FARTHER

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1995

Series 63

Date: 12/1/1995

SIE

Date: 11/17/2017

Series 7

Date: 11/17/1995

Current Firm

FARTHER

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARTHER

TRUST BUT VERIFY

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