Timothy F. Fleming
FLEMING WEALTH STRATEGIES
Glendale, AZ 85308
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CRD#: 2928133
Professional summary
Timothy Francis Fleming, CFP®, who also goes by Timothy F Fleming, is a registered financial advisor currently at FLEMING WEALTH STRATEGIES, LLC located in Glendale, Arizona and LPL FINANCIAL LLC located in Glendale, Arizona.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Timothy has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Investment Planning
Tax Planning
Insurance Planning
Estate Planning
Small Business Planning
Business Succession Planning
Employee and Employer Plan Ben...
Retirement Planning
Education Planning
Long-term Care
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
Timothy F 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) 06/21/2010: Fleming Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). (2) 7/11/2013: Eatmore Cheesecake LLC - Not Investment Related - Other-Family Business - Time Spent 1% - MEMBER/OWNER OF EATMORE CHEESECAKE LLC. THIS LLC OVERSEES THE ACTIVITIES OF MY CYCLING TEAM, A CYCLING WEBSITE FOR THE TEAM, AND A GROUP RIDE I ORGANIZE IN ARIZONA (CALLED THE UNDERGROUND CRIT). (3) 1/30/2014: Fleming Wealth Strategies - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 06/2010 - 120 Hours Per Month - Time Spent 75% - I provide investment advisory services through Fleming Wealth Strategies, an independent investment advisor firm. I started this business activity in 06/2010. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (4) 11/7/2016: Fleming Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/26/2016 - 10 Hours Per Month/5 Hours During Securities Trading - LTCi. (5) 1/10/2022 - On the Pitch LLC - Not Investment Related - various soccer fields - Other-Soccer coaching / tournament - Owner - Started 02/01/2022 - 10 Hours Per Month/0 Hours During Securities Trading - Starting a soccer coaching program (private training for a fee) and a possible soccer tournament in 2022. (6) 11/02/2023 - Deer Valley School District - Other - Soccer Coach - Not Investment Related - Glendale, AZ - Start Date 11/25/2023 - 32 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Francis 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: 2008
Experience
Current
July 16, 2013 - Present
FLEMING WEALTH STRATEGIES, LLC
Office #1: 19420 N. 59th Avenue Suite B247, Glendale, AZ 85308RIA
CRD#: 167873
Glendale, AZ
Current
June 21, 2010 - Present
LPL FINANCIAL LLC
Office #1: 19420 N 59th Ave Ste B247, Glendale, AZ 85308RIA
BD
CRD#: 6413
Glendale, AZ
Past
July 16, 2013 - December 31, 2022
FLEMING WEALTH STRATEGIES, LLC
RIA
CRD#: 167873
GLENDALE, AZ
Past
June 22, 2010 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
SCOTTSDALE, AZ
Past
July 2, 2003 - June 28, 2010
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
PHOENIX, AZ
Past
July 1, 2003 - June 28, 2010
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Past
December 14, 2000 - June 4, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TUCSON, AZ
Past
January 30, 1998 - June 4, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Arizona(6/21/2010)
IAR
Arizona(7/16/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FW
FLEMING WEALTH STRATEGIES, LLC
FLEMING WEALTH STRATEGIES, LLC | FLEMING, TIMOTHY FRANCIS
CRD#: 167873 / SEC#:
Arizona
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Contact information
Main Address
19420 N. 59th Avenue Suite B247, Glendale, AZ 85308
Mailing Address
Phone number
(480) 265-9119
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 215 |
| AUM (Assets Under Management) | $ 41,277,000 |
Red Flags
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Company Information
FLEMING WEALTH STRATEGIES, LLC
CRD#: 167873Glendale, AZ 85308TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
