Ryan J. Fleming

"THE PILOT'S ADVISOR," LLC

O'fallon, IL

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CRD#: 5620708

Professional summary

Ryan Joseph Fleming, who also goes by Ryan Fleming, is a registered financial advisor currently at "THE PILOT'S ADVISOR," LLC located in O'fallon, Illinois.

Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Ryan has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ryan 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.

1) FEDEX, NON INVESTMENT RELATED, 3131 DEMOCRAT RD. MEMPHIS, TN 38118. PILOT, START DATE 04/2012, FLEXIBLE HOURS, APPROXIMATELY 20 HOURS PER MONTH, DUTIES ARE FLYING PLANES. 2) INVESTMENT PROPERTIES, NOT INVESTMENT-RELATED. ONLY FOR PERSONAL INVESTMENT PROPERTIES; HOME ADDRESS. COLLECTING RENT AND HANDLING ANY MAINTENANCE ISSUES THAT MAY COME UP; START DATE: 08/2002. 2 HOURS DEVOTED PER MONTH 0 DURING SECURITIES TRADING HOURS 3) INSURANCE - INVESTMENT RELATED. THE LAFAYETTE LIFE INSURANCE CO. 400 BROADWAY, CINCINNATI, OH 45202-3341 AND PENN MUTUAL. 600 DRESHER ROAD, HORSHAM, PA 19044. INSURANCE BUSINESS OUTSOURCED TO PENN MUTUAL/LAFAYETTE LIFE. START: 06/17/2022. APPOXIMATELY 2 HOURS PER MONTH, RESPONDING TO BASIC QUESTION, 0 HOURS DURING TRADING HOURS. 4) Pilot Tax, Investment Related, 220 West Jackson Street, Cicero, IN 46034. No Referral arrangement but refer clients to each other. Relationship started in August of 2022. Usually spend less than one hour per month devoted during securities trading, recommends advisory clients who may need tax services to Pilot Tax, no compensation received. 5) Max Performance Financial, Investment Related, 4737 County Rd 101, Unit 140, Minnetonka, MN, 55345, Referral arrangement, Start Date: June 2022. Two hours per month devoted and one hour per month devoted during securities trading, recommends advisory clients who may need insurance services to Max Performance Financial, Mr. Fleming receives compensation from this referral arrangement. If clients purchase insurance products, Mr. Fleming receives 50% of the commission.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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

February 29, 2012 - Present

"THE PILOT'S ADVISOR," LLC

RIA

CRD#: 160241

O'fallon, IL

Past

January 8, 2009 - February 17, 2012

CANTELLA & CO., INC.

RIA

CRD#: 13905

BELLEVILLE, IL

Past

December 1, 2008 - February 17, 2012

CANTELLA & CO., INC.

CRD#: 13905

BELLEVILLE, IL

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".

"THE PILOT'S ADVISOR," LLC

"THE PILOT'S ADVISOR," LLC | THE PILOTS ADVISOR | THE PILOT'S ADVISOR | FLEMING FINANCIAL GROUP, LLC DBA "THE PILOT'S ADVISOR" | FLEMING FINANCIAL GROUP, LLC

CRD#: 160241 / SEC#: 801-133005

RIA

Registered Investment Advisory firm - (6/16/2025 Approved)

Alabama

Registered Investment Advisory firm - (6/16/2025 Terminated)

Alaska

Registered Investment Advisory firm - (6/16/2025 Terminated)

Arizona

Registered Investment Advisory firm - (6/16/2025 Terminated)

California

Registered Investment Advisory firm - (7/16/2025 Terminated)

Colorado

Registered Investment Advisory firm - (6/19/2025 Terminated)

Connecticut

Registered Investment Advisory firm - (6/26/2025 Terminated)

Florida

Registered Investment Advisory firm - (6/16/2025 Terminated)

Georgia

Registered Investment Advisory firm - (6/16/2025 Terminated)

Idaho

Registered Investment Advisory firm - (6/16/2025 Terminated)

Illinois

Registered Investment Advisory firm - (6/16/2025 Terminated)

Indiana

Registered Investment Advisory firm - (6/16/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (6/16/2025 Terminated)

Michigan

Registered Investment Advisory firm - (6/16/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (6/16/2025 Terminated)

Mississippi

Registered Investment Advisory firm - (7/1/2025 Terminated)

Montana

Registered Investment Advisory firm - (6/24/2025 Terminated)

Nevada

Registered Investment Advisory firm - (6/16/2025 Terminated)

New Hampshire

Registered Investment Advisory firm - (6/24/2025 Terminated)

New Jersey

Registered Investment Advisory firm - (6/17/2025 Terminated)

New York

Registered Investment Advisory firm - (6/16/2025 Terminated)

North Carolina

Registered Investment Advisory firm - (6/18/2025 Terminated)

Ohio

Registered Investment Advisory firm - (6/16/2025 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/16/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/17/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (6/16/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (7/16/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/16/2025 Terminated)

Utah

Registered Investment Advisory firm - (6/18/2025 Terminated)

Virginia

Registered Investment Advisory firm - (6/23/2025 Terminated)

Washington

Registered Investment Advisory firm - (7/16/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/16/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

South Carolina
(8/8/2012)

IAR

Texas
(9/28/2017)

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

IAR

Series 66

Date: 12/27/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/29/2008

General Securities Representative Examination

Current Firm

"THE PILOT'S ADVISOR," LLC

"THE PILOT'S ADVISOR," LLC | THE PILOTS ADVISOR | THE PILOT'S ADVISOR | FLEMING FINANCIAL GROUP, LLC DBA "THE PILOT'S ADVISOR" | FLEMING FINANCIAL GROUP, LLC

CRD#: 160241 / SEC#: 801-133005

RIA

Registered Investment Advisory firm - (6/16/2025 Approved)

Alabama

Registered Investment Advisory firm - (6/16/2025 Terminated)

Alaska

Registered Investment Advisory firm - (6/16/2025 Terminated)

Arizona

Registered Investment Advisory firm - (6/16/2025 Terminated)

California

Registered Investment Advisory firm - (7/16/2025 Terminated)

Colorado

Registered Investment Advisory firm - (6/19/2025 Terminated)

Connecticut

Registered Investment Advisory firm - (6/26/2025 Terminated)

Florida

Registered Investment Advisory firm - (6/16/2025 Terminated)

Georgia

Registered Investment Advisory firm - (6/16/2025 Terminated)

Idaho

Registered Investment Advisory firm - (6/16/2025 Terminated)

Illinois

Registered Investment Advisory firm - (6/16/2025 Terminated)

Indiana

Registered Investment Advisory firm - (6/16/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (6/16/2025 Terminated)

Michigan

Registered Investment Advisory firm - (6/16/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (6/16/2025 Terminated)

Mississippi

Registered Investment Advisory firm - (7/1/2025 Terminated)

Montana

Registered Investment Advisory firm - (6/24/2025 Terminated)

Nevada

Registered Investment Advisory firm - (6/16/2025 Terminated)

New Hampshire

Registered Investment Advisory firm - (6/24/2025 Terminated)

New Jersey

Registered Investment Advisory firm - (6/17/2025 Terminated)

New York

Registered Investment Advisory firm - (6/16/2025 Terminated)

North Carolina

Registered Investment Advisory firm - (6/18/2025 Terminated)

Ohio

Registered Investment Advisory firm - (6/16/2025 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/16/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/17/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (6/16/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (7/16/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/16/2025 Terminated)

Utah

Registered Investment Advisory firm - (6/18/2025 Terminated)

Virginia

Registered Investment Advisory firm - (6/23/2025 Terminated)

Washington

Registered Investment Advisory firm - (7/16/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/16/2025 Terminated)

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Contact information

Main Address

Seneca, SC

Mailing Address

190 S. Hwy 11 Unit 114, West Union, SC 29696-2405

Phone number

(843) 475-3038

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

"THE PILOT'S ADVISOR," LLC ADV BROCHURE (5/27/2025)

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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Ryan J. Fleming

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

"THE PILOT'S ADVISOR," LLC

CANTELLA & CO., INC.

CANTELLA & CO., INC.

Primary Firm SEC Registration

"THE PILOT'S ADVISOR," LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/27/2008

Series 7

Date: 11/29/2008

Current Firm

"THE PILOT'S ADVISOR," LLC

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

"THE PILOT'S ADVISOR," LLC

TRUST BUT VERIFY

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