Zachery T. 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.
Zachery Tyler Fleming, who also goes by Zach Fleming, was a registered financial professional .
Zachery is a previously registered financial professional and started their career in finance in 2000. Zachery had worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2021 - July 10, 2023
AE WEALTH MANAGEMENT, LLC
January 12, 2016 - November 30, 2016
QUESTAR ASSET MANAGEMENT, INC.
January 12, 2016 - November 30, 2016
QUESTAR CAPITAL CORPORATION
March 28, 2011 - January 14, 2016
NATIONWIDE SECURITIES, LLC
November 15, 2010 - January 14, 2016
NATIONWIDE SECURITIES, LLC
October 23, 2009 - November 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 6, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 6, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2003 - October 13, 2006
BB&T INVESTMENT SERVICES, INC.
March 17, 2003 - October 13, 2006
BB&T INVESTMENT SERVICES, INC.
September 30, 2002 - March 20, 2003
NCF FINANCIAL SERVICES, INC.
March 28, 2002 - September 30, 2002
INVEST FINANCIAL CORPORATION
October 31, 2000 - March 11, 2002
EDWARD JONES
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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.
