Sean M. Fleming

FLEMING FINANCIAL SERVICES

Mesa, AZ 85206

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CRD#: 6516544

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.

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.

My Smart Retirement Weekly Radio Show airing Saturday mornings at 10am on Money Radio 1510am and 105.3 fm. Also available on ITunes, Money Radio Archives, and Google Playstore Insurance Licensed Selling Life and health

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean 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®

None

Experience

Current

February 14, 2018 - Present

FLEMING FINANCIAL SERVICES

Office #1: 4702 E. Southern Av, Mesa, AZ 85206

RIA

CRD#: 145717

Mesa, AZ

Past

February 29, 2016 - December 31, 2016

FLEMING FINANCIAL SERVICES

RIA

CRD#: 145717

GILBERT, AZ

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

Arizona
(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

State Security Law Exam

IAR

Series 65

Date: 11/23/2015

Uniform Investment Adviser Law Examination

Current Firm

FLEMING FINANCIAL SERVICES

FLEMING FINANCIAL SERVICES | FLEMING FINANCIAL SERVICES, INCORPORATED

CRD#: 145717 / SEC#:

Arizona

Registered Investment Advisory firm - (9/17/2009 Approved)

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Contact information

Main Address

4702 E. Southern Av, Mesa, AZ 85206

Mailing Address

Phone number

(480) 632-8770

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	510
AUM (Assets Under Management)	$ 51,000,000

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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Sean M. Fleming

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FLEMING FINANCIAL SERVICES

FLEMING FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/2015

Current Firm

FLEMING FINANCIAL SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FLEMING FINANCIAL SERVICES

TRUST BUT VERIFY

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