Sean Michael Fleming
Professional Summary
Sean Michael Fleming is a registered financial advisor currently at FLEMING FINANCIAL SERVICES located in Mesa, Arizona. Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Sean has worked at 1 firm and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
RBC CAPITAL MARKETS, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
Years of Experience
11 years in the financial services industry
Current & Past Employments
Similar Advisors
RBC CAPITAL MARKETS, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
Current Firm
FLEMING FINANCIAL SERVICES | FLEMING FINANCIAL SERVICES, INCORPORATED
Contact Information
Main Address
4702 E. Southern Av, Mesa, AZ 85206Phone Number
(480) 632-8770# of Employees
8Documents
Regulatory Assets Under Management
Total Number of Accounts
735AUM (Assets Under Management)
$58,000,000Similar Advisors
RBC CAPITAL MARKETS, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
(2/14/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
RBC CAPITAL MARKETS, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Fleming's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
VANGUARD MARKETING CORPORATION
AMERIPRISE FINANCIAL SERVICES, LLC
VANGUARD MARKETING CORPORATION
