Stephen M. Fleming
CETERA INVESTMENT ADVISERS LLC
GREENVILLE, SC 29607
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CRD#: 2797974
Professional summary
Stephen Michael Fleming, CFP®, CLU®, who also goes by Steve Fleming, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Greenville, South Carolina and CETERA ADVISORS LLC located in Greenville, South Carolina.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve 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.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START SEPTEMBER 2014, 30 HRS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, DISABILITY, ANNUITIES & LONG-TERM CARE. 2.NUMISMATICS, NOT INVESTMENT RELATED, ADDRESS IS THE RESIDENTIAL LOCATION, SALES OF COIN COLLECTIONS ON EBAY, START SEPTEMBER 2014, LESS THAN 5 HOURS PER WEEK - NOT DURING TRADING HOURS, OWNER. 3. NAME OF OTHER BUSINESS: ABCD TREATS OF GREENVILLE LP; INVESTMENT RELATED: NO; ADDRESS: 2400 A N PLEASANTBURG DR, GREENVILLE, SC 29609; NATURE OF BUSINESS: ITALIAN ICE AND CUSTARD SHOP; START DATE: 12/2018; POSITION/TITLE/RELATIONSHIP: OWNER / PARTNER APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE, MANAGER OVERSIGHT; 4. NAME OF OTHER BUSINESS: NABELL WINSLOW INVESTMENTS AND WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2014, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael 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®
Start date: 2004
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 219 N Pleasantburg Dr, Greenville, SC 29607RIA
CRD#: 105644
GREENVILLE, SC
Current
September 16, 2014 - Present
CETERA ADVISORS LLC
Office #1: 219 N Pleasantburg Dr, Greenville, SC 29607BD
CRD#: 10299
Greenville, SC
Past
September 17, 2014 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
August 7, 2007 - September 16, 2014
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
HENDERSONVILLE, NC
Past
August 6, 2007 - September 16, 2014
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
HENDERSONVILLE, NC
Past
July 26, 2006 - August 7, 2007
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
GREENVILLE, SC
Past
July 24, 2006 - August 7, 2007
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
GREENVILLE, SC
Past
February 24, 2006 - July 17, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
GREENVILLE, SC
Past
July 11, 2000 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 7, 1997 - July 17, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
GREENVILLE, SC
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Georgia(9/16/2025)
RR
North Carolina(9/16/2014)
RR
South Carolina(9/16/2014)
IAR
South Carolina(3/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Greenville, SC 29607TRUST BUT VERIFY
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