Paula Fleming

NEXT CHAPTER FINANCIAL

Denver, CO

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CRD#: 5572307

Professional summary

Paula Fleming, CFA, who also goes by Paula Renee Austin, Paula Austin Fleming, is a registered financial advisor currently at NEXT CHAPTER FINANCIAL, LLC located in Denver, Colorado.

Paula is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Paula has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Paula Renee Austin | Paula Austin 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 Paula 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®

CFA

Chartered Financial Analyst

Experience

Current

May 7, 2024 - Present

NEXT CHAPTER FINANCIAL, LLC

RIA

CRD#: 330230

Denver, CO

Past

October 9, 2008 - June 16, 2014

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

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

Colorado
(5/7/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 10/20/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/8/2008

General Securities Representative Examination

Current Firm

NEXT CHAPTER FINANCIAL, LLC

CRD#: 330230 / SEC#:

Colorado

Registered Investment Advisory firm - (5/7/2024 Approved)

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Contact information

Main Address

Denver, CO

Mailing Address

Phone number

(720) 281-2217

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Paula Fleming

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

NEXT CHAPTER FINANCIAL, LLC

JANUS HENDERSON DISTRIBUTORS US LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/20/2008

Series 7

Date: 10/8/2008

Current Firm

NEXT CHAPTER FINANCIAL, LLC

Contact information

Documents

Red Flags

Company Information

NEXT CHAPTER FINANCIAL, LLC

TRUST BUT VERIFY

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