Weldon G. Fleming
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Weldon Garrison Fleming JR, who also goes by Gary Fleming, was a registered financial professional .
Weldon is a previously registered financial professional and started their career in finance in 1998. Weldon had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2020 - March 5, 2024
LIATI CAPITAL, LLC
July 17, 2006 - December 4, 2018
LIATI CAPITAL, LLC
January 27, 1998 - January 19, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
LIATI CAPITAL, LLC
CRD#: 103958 / SEC#: , 8-52447
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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