AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JF

James S. Fleming

Some features on this profile are disabled
CRD#: 846806
JF

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.

James Sylvester Fleming, who also goes by James Sylvester Fleming III, James Sylvester Fleming Jr, Shamus Fleming, James Sylvester Shamus, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1977. James had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Sylvester Fleming Iii | James Sylvester Fleming Jr | Shamus Fleming | James Sylvester Shamus

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 12, 2018 - May 25, 2018

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

July 29, 2016 - July 20, 2017

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
WORCESTER, MA
Past

February 1, 2005 - August 4, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
WORCESTER, MA
Past

October 1, 1999 - February 1, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 12, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

November 4, 1997 - November 25, 1998

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

December 21, 1977 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

December 21, 1977 - September 29, 1997

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

December 21, 1977 - September 29, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/7/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 12/15/1977
Registered Representative Examination

Current Firm

CF
CHELSEA FINANCIAL SERVICES
CHELSEA FINANCIAL SERVICES | DBA CHELSEA FINANCIAL SERVICES | CHELSEA MORGAN SECURITIES, INC.

CRD#: 47770 / SEC#: , 8-51916

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
242 Main Street, Staten Island, NY 10307
Mailing Address
242 Main Street, Staten Island, NY 10307
Phone number
(718) 967-8400
Established
New York since 05/05/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PISAPIA, JOHN THOMASPRESIDENT2336216
SEBOLD, STEPHEN RAPHAELCHIEF COMPLIANCE OFFICER2453748

Disclosures

Regulatory Event4

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.

Company Information

CHELSEA FINANCIAL SERVICES

CRD#: 47770

TRUST BUT VERIFY

Monitor James Fleming

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics