BF
Brian D. Fleming
FOCUS FINANCIAL
ALEXANDRIA, MN 56308
Some features on this profile are disabled
CRD#: 3248196
BF
Professional summary
Brian David Fleming, CFP® is a registered financial advisor currently at FOCUS FINANCIAL located in Alexandria, Minnesota and OSAIC WEALTH, INC. located in Alexandria, Minnesota.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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. FOCUS FINANCIAL NETWORK INC.; NOT INVESTMENT-RELATED; 307 N. NOKOMIS STREET, SUITE 112, ALEXANDRIA, MN 56308 ; INSURANCE AGENCY; SALE AND SERVICE OF FIXED INSURANCE PRODUCTS; INSURANCE AGENT; 11/2012; 15% OF TIME; 100% DURING TRADING HOURS. 2. BRIAN D FLEMING POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2005 ADDRESS: 712 Hawthorne St, Alexandria MN 56308, United States DESCRIPTION: Property Rental, owner renting apartments, office space 3. NATIONAL ASSOC OF INS & FINANCIAL ADVISORS; NON INV REL; 1405 NORTH LILAC DR SUITE 121 GOLDEN VALLEY, MN 55422; INSURANCE ASSOCIATION; BOARD MEMBER; START 1/1/07; 6 HRS/MO; 4 HRS/MO DURING TRADING HRS; BOARD MEMBER. 4. BOY SCOUTS, CUB SCOUTS POSITION: Board Member, Volunteer NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/15/2015; ADDRESS: 605 Douglas St, Alexandria MN 56308 DESCRIPTION: Volunteer with Cub Scouts and Boy Scouts in local community. 5. FOCUS FINANCIAL POSITION: Financial Advisor NATURE: Registered Investment Adviser INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 11/15/2012 ADDRESS: 1300 Godward St NE, Suite 5500, Minneapolis MN 55413, United States DESCRIPTION: Monitor investment portfolios for clients 6. BRIAN D FLEMING POSITION: Statutory Agent - NATURE: Fixed Insurance - Trail commissions only, no new business INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2012 ADDRESS: 307 N Nokomis St, Suite 112, Alexandria, MN 56308, Alexandria MN 56308, United States DESCRIPTION: Receive trails commissions of fixed insurance products, insurance agent 7. NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS MINNESOTA POSITION: President NATURE: Non-Profit - Provides continuing education and advocacy for insurance and financial advisors INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2007 ADDRESS: 4707 Highway 61 N, #181, White Bear Lake MN 55110, United States DESCRIPTION: President - Oversee board and staff members 8. MUNCHAUSEN SUPPORT POSITION: Vice President NATURE: Nonprofit INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 12/08/2023 ADDRESS: 10016 EDMONDS WAY, SUITE C 122, Edmonds WA 98020-5107, United States DESCRIPTION: Attend board meetings and work on committees
CRS (Client Relationship Summary) - RIA
Click below to view Brian David 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: 2007
Experience
Current
January 31, 2014 - Present
FOCUS FINANCIAL
Office #1: 307 N. Nokomos Street Suite 112, Alexandria, MN 56308RIA
CRD#: 116140
ALEXANDRIA, MN
Current
November 15, 2012 - Present
OSAIC WEALTH, INC.
Office #1: 307 N. Nokomis St. #112, Alexandria, MN 56308Office #2: 318 Jefferson St S Suite 7, Wadena, MN 56482Office #3: 1001 Main Street S., Sauk Centre, MN 56378RIA
BD
CRD#: 23131
Alexandria, MN
Past
January 3, 2005 - November 19, 2012
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
ALEXANDRIA, MN
Past
July 13, 1999 - January 6, 2005
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)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(5/26/2022)
RR
California(11/15/2012)
RR
Colorado(4/7/2021)
RR
District of Columbia(1/7/2021)
RR
Florida(9/11/2019)
RR
Georgia(10/11/2023)
RR
Hawaii(3/10/2023)
RR
Illinois(6/21/2024)
RR
Iowa(5/24/2016)
RR
Kansas(5/19/2023)
RR
Maryland(11/22/2022)
RR
Massachusetts(11/15/2012)
RR
Minnesota(11/15/2012)
IAR
Minnesota(1/31/2014)
RR
Missouri(10/4/2019)
RR
Nebraska(8/16/2017)
RR
New Hampshire(4/16/2021)
RR
New Mexico(1/14/2021)
RR
New York(11/15/2012)
RR
North Dakota(11/15/2012)
RR
South Dakota(5/19/2023)
RR
Texas(9/21/2020)
IAR
Texas(10/14/2024)
RR
Washington(8/12/2020)
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
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
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.
