Scott M. Fleming
Professional summary
Scott Mitchell Fleming is a registered financial professional currently at U.S. BANCORP INVESTMENTS, INC. located in Mclean, Virginia.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2000. Scott has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Mitchell Fleming's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2024 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 1650 Tysons Blvd, Mclean, VA 22101July 29, 2022 - October 1, 2024
PFM FUND DISTRIBUTORS, INC.
January 2, 2013 - September 23, 2020
BB&T SECURITIES, LLC
January 2, 2013 - September 23, 2020
BB&T SECURITIES, LLC
January 25, 2001 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
October 24, 2000 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/1/2024)
(10/1/2024)
(10/1/2024)
(10/1/2024)
Exams
What does exam status mean?
FINRA
Current Firm
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE SHAREHOLDER | |
| BEJASA, EILEEN | CHIEF OPERATIONS OFFICER AND DIRECTOR | 7002808 |
| CHOKSHI, KIRIT VINOD | DIRECTOR | 1849164 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER AND DIRECTOR | 5829700 |
| CLARK, VANESSA L | CHIEF LEGAL OFFICER | 6563101 |
| DONNELLY, SHANNON MCCRARY | SENIOR VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2429382 |
| NAMJOSHI, NITIN SUHAS | DIRECTOR | 5902293 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 5025315 |
| SCHUMER, RONALD EDWARD | DIRECTOR | 2671949 |
| SCOTT, GEORGE MAULDIN III | DIRECTOR | 4902301 |
| WHANG, JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 65,208 |
| AUM (Assets Under Management) | $ 22,940,857,825 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 13 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 12/19/2024 | ||
| 11/21/2023 |
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.
