Benjamin T. Fleming

VIRTUS INVESTMENT ADVISERS

Hartford, CT 06103

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CRD#: 4904461

Professional summary

Benjamin Thomas Fleming, who also goes by Ben Fleming, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Hartford, Connecticut and VP DISTRIBUTORS LLC located in Hartford, Connecticut.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Benjamin has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Thomas 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®

None

Experience

Current

July 14, 2025 - Present

VIRTUS INVESTMENT ADVISERS, LLC

Office #1: One Financial Plaza 26th Floor, Hartford, CT 06103

RIA

CRD#: 106982

Hartford, CT

Current

July 14, 2025 - Present

VP DISTRIBUTORS LLC

Office #1: One Financial Plaza, Hartford, CT 06103

CRD#: 3036

HARTFORD, CT

Past

August 26, 2024 - July 1, 2025

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Middletown, CT

Past

May 4, 2012 - September 24, 2015

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

May 2, 2012 - February 8, 2014

SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.

CRD#: 19242

WINDSOR, CT

Past

May 2, 2012 - September 24, 2015

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989

WINDSOR, CT

Past

May 2, 2012 - September 24, 2015

SLD AMERICA EQUITIES, INC.

CRD#: 36259

WINDSOR, CT

Past

May 2, 2012 - September 24, 2015

DIRECTED SERVICES LLC

CRD#: 21675

WINDSOR, CT

Past

May 19, 2011 - July 1, 2025

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Windsor, CT

Past

March 1, 2010 - May 25, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

March 9, 2005 - May 23, 2007

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

HARTFORD, CT

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".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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.

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

Connecticut
(7/14/2025)

IAR

Connecticut
(7/14/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/23/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/2/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 8/12/2022

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/26/2010

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/6/2023

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/20/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

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.

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Advisor Monitoring

Firm Stability Insights

Benjamin T. Fleming

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Thomas Fleming's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.

VOYA RETIREMENT ADVISORS, LLC

SLD AMERICA EQUITIES, INC.

DIRECTED SERVICES LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2024

Series 63

Date: 11/2/2006

Series 52TO

Date: 8/12/2022

SIE

Date: 10/1/2018

Series 7

Date: 12/28/2011

Series 6

Date: 2/26/2010

Series 53

Date: 1/6/2023

Series 24

Date: 7/20/2012

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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