SF
Shawn M. Fleming
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
STATESVILLE, NC 28677
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CRD#: 5316725
SF
Professional summary
Shawn Michael Fleming is a registered financial advisor currently at PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC located in Statesville, North Carolina.
Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Shawn has worked at 2 firms and has passed the Series 65 exam.
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.
CURRENTLY, SHAWN FLEMING IS INDEPENDENTLY LICENSED IN LIFE, ACCIDENT, AND HEALTH INSURANCES. IN THE COURSE OF PROVIDING COMPREHENSIVE FINANCIAL PLANNING, SHAWN MAY IDENTIFY GAPS IN A CLIENT'S INSURANCE COVERAGE AND RECOMMEND THAT THE CLIENT CONSIDER VARIOUS TYPES OF INSURANCE COVERAGE AS PART OF THE CLIENT'S PERSONAL RISK MANAGEMENT AND CONTINGENCY PLANNING. IF THE CLIENT WANTS ADDITIONAL INSURANCE COVERAGE BUT DOES NOT HAVE A PERSONAL INSURANCE AGENT, SHAWN WILL MAKE HIMSELF AVAILABLE TO HELP THE CLIENT AS AN INDEPENDENT INSURANCE AGENT. IN DOING SO, SHAWN WILL ENCOURAGE THE CLIENT TO MAKE PERSONAL RISK EVALUATIONS AND COST-BENEFIT ANALYSES WITH REGARD TO POTENTIAL INSURANCE COMPANIES, INSURANCE PRODUCTS, AND INSURANCE PROVIDERS WITHIN THE MARKETPLACE BEFORE COMMITTING TO AN INSURANCE PURCHASE. SHAWN PROVIDES WRITTEN DISCLOSURES TO THE CLIENT THAT STRESS THE IMPORTANCE OF SUCH COMPARISONS BY THE CLIENT AS A CONSUMER IN ADDITION TO EXPLAINING HIS REPRESENTATION AND COMPENSATION AS AN AGENT OF SPECIFIC INSURANCE COMPANIES. ANY INSURANCE-RELATED BUSINESS UNDERTAKEN BY SHAWN FLEMING IS PERFORMED FROM SHAWN'S PERSONAL RESIDENCE UNDER HIS OWN NAME AND IS NOT INVESTMENT-RELATED. LESS THAN 3 HOURS PER MONTH HAVE BEEN DEVOTED TO INSURANCE ACTIVITIES AT THIS POINT AND LESS THAN ONE OF THOSE HOURS PER MONTH HAS BEEN DURING SECURITIES TRADING HOURS.
SHAWN FLEMING IS ALSO ACTIVELY ENGAGED IN GENERAL, NON-SECURITIES RELATED CONSULTING. THIS ACTIVITY HAS BEEN LIMITED SO FAR TO THE FIELDS OF GENERAL BUSINESS AND MANAGEMENT CONSULTING. THERE ARE NO FORESEEABLE CONFLICTS OF INTEREST BETWEEN PROFESSIONAL WEALTH MANAGEMENT SERVICES AND THE PERSONAL CONSULTING ACTIVITIES PERFORMED BY SHAWN FLEMING. ANY CONSULTING-RELATED BUSINESS UNDERTAKEN BY SHAWN FLEMING IS PERFORMED FROM SHAWN'S PERSONAL RESIDENCE UNDER HIS OWN NAME AND IS NOT INVESTMENT-RELATED. LESS THAN 9 HOURS PER MONTH HAVE BEEN DEVOTED TO CONSULTING ACTIVITIES AT THIS POINT AND APPROXIMATELY 2 OF THOSE HOURS PER MONTH HAVE BEEN DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Michael 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®
NoneExperience
Current
June 17, 2009 - Present
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
Office #1: 211 South Center Street Suite 417, Statesville, NC 28677RIA
CRD#: 150266
STATESVILLE, NC
Past
April 30, 2007 - November 23, 2009
PROFESSIONAL ADVISORY SERVICES, LLC
RIA
CRD#: 119148
STATESVILLE, NC
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".
PW
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
CRD#: 150266 / SEC#: 801-123592
RIA
Registered Investment Advisory firm - (4/1/2022 Approved)North Carolina
Registered Investment Advisory firm - (4/20/2022 Terminated)Texas
Registered Investment Advisory firm - (12/2/2015 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.Highlighted states indicate IAR registrations
IAR
North Carolina(6/17/2009)
Current Firm
PW
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
CRD#: 150266 / SEC#: 801-123592
RIA
Registered Investment Advisory firm - (4/1/2022 Approved)North Carolina
Registered Investment Advisory firm - (4/20/2022 Terminated)Texas
Registered Investment Advisory firm - (12/2/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
211 South Center Street Suite 417, Statesville, NC 28677
Mailing Address
Phone number
(704) 872-0022
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61 |
| AUM (Assets Under Management) | $ 128,784,322 |
Red Flags
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