William J. 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.
William J Fleming, CFP®, who also goes by Bill Fleming, William John Fleming Jr, William John Fleming, William Fleming, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2008. William had worked at 6 firms and has passed the Series 66, 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
Start date: 2015
Experience
July 29, 2019 - September 20, 2021
PEOPLE'S UNITED ADVISORS, INC.
July 26, 2019 - September 20, 2021
PEOPLE'S SECURITIES, INC.
July 13, 2018 - July 11, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 11, 2014 - July 13, 2018
STRATEGIC ADVISERS LLC
February 5, 2013 - July 10, 2019
FIDELITY BROKERAGE SERVICES LLC
May 20, 2009 - January 29, 2013
EQUITABLE ADVISORS, LLC
December 12, 2008 - January 29, 2013
EQUITABLE ADVISORS, 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
Exams
Current Firm
PEOPLE'S UNITED ADVISORS, INC.
CRD#: 292454 / SEC#: 801-112648
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,076 |
| AUM (Assets Under Management) | $ 845,211,011 |
Red Flags
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