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
MF

Mark W. Fleming

Some features on this profile are disabled
CRD#: 847587
MF

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.

Mark William Fleming was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1978. Mark had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 5, Series 1 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
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

December 9, 2014 - August 17, 2021

CORECAP INVESTMENTS, LLC

BD
CRD#: 37068
SOUTHFIELD, MI
Past

August 13, 2010 - December 23, 2014

DALTON STRATEGIC INVESTMENT SERVICES INC.

BD
CRD#: 23485
N. MIAMI BEACH, FL
Past

July 11, 2006 - August 10, 2010

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
LAKELAND, FL
Past

May 28, 2003 - July 7, 2006

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
BIRMINGHAM, AL
Past

April 19, 2002 - January 17, 2003

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

December 21, 2000 - April 29, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX
Past

October 14, 1999 - November 17, 2000

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

November 23, 1998 - September 15, 1999

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

October 21, 1986 - December 12, 1986

TRI-BRADLEY INVESTMENTS

BD
CRD#: 14208
Past

January 15, 1986 - September 24, 1986

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

December 27, 1984 - March 18, 1986

PRUDENTIAL-BACHE SECURITIES (PAN AMERICA) INC.

BD
CRD#: 65
Past

October 10, 1984 - February 12, 1986

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

August 17, 1981 - September 28, 1984

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

January 16, 1981 - September 8, 1981

FITTIN, CUNNINGHAM & LAUZON, INC.

BD
CRD#: 6866
Past

January 6, 1978 - March 2, 1981

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095

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
IAR
Series 66
Date: 8/23/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/6/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/4/1998
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 5
Date: 5/1/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 1
Date: 12/30/1977
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/3/1998
Investment Company Products/Variable Contracts Principal Examination

Current Firm

CI
CORECAP INVESTMENTS, LLC
ADVANTAGE BENEFITS AND RETIREMENT | WINGARD FINANCIAL GROUP | WINDSOR, SHEFFIELD & CO., INC. | WINDSOR SHEFFIELD & CO., INC. | TLC INSURANCE | TALLOU FINANCIAL SERVICES | STRANG ASSOCIATES | STIVERS FINANCIAL | SPARTAN FINANCIAL GROUP | SOLOMON FINANCIAL | SLEEP WELL RETIREMENT | SKOLNIK RETIREMENT SOLUTIONS, LLC | SIMASKO FINANCIAL | RUCKER FINANCIAL GROUP | RONNIE BROUSSARD & ASSOCIATES | ROMAIN FINANCIAL | PHARR FINANCIAL GROUP | PETTIFORD FINANCIAL & WEALTH MANAGEMENT | PATHWAY FINANCIAL GROUP | NJ RETIREMENT PLANNING, LLC | MICHAEL T GROVES FINANCIAL | MANNOR FINANCIAL GROUP | LOVELESS FINANCIAL GROUP, LLC | LAKE COUNTY FINANCIAL GROUP | LABADIE FINANCIAL | KLAUENBERG RETIREMENT SOLUTIONS | JOHN NELSON FINANCIAL | HAROLD THOMAS FINANCIAL GROUP, LLC | GILLIKIN & ASSOCIATES | FIRST FINANCIAL GROUP USA | FINANCIAL FITNESS | EVERLAST FINANCIAL GROUP | ESPERO & PARTNERS | DWORETSKY FINANCIAL | CREATIVE FINANCIAL SOLUTIONS | CORNERSTONE FINANCIAL | CORECAP INVESTMENTS, LLC | CORECAP INVESTMENTS, INC. | COOPER, ADEL, VU FINANCIAL | CONNERS WEALTH MANAGEMENT | CAPITAL CHOICE SOUTHWEST | CAPITAL CHOICE FINANCIAL SERVICES | BELLFLOWER FINANCIAL GROUP, LLC | AZOURY & ASSOCIATES | ASSET MANAGEMENT & ADVISORY SERVICES OF LEE COUNTY | ANDRIKOS FINANCIAL PARTNERS | AMERICAN PROSPERITY GROUP

CRD#: 37068 / SEC#: , 8-47783

BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
27777 Franklin Road Suite 700, Southfield, MI 48034
Mailing Address
27777 Franklin Road Suite 700, Southfield, MI 48034
Phone number
(888) 296-3360
Established
Delaware since 04/24/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
CORE CAPITAL HOLDINGS, LLCPARENT COMPANY
MUNCIE, DAVID WAYNECHIEF FINANCIAL OFFICER & POO1802808
PETERS, ROBERT WILLIAMFINOP1704577
RUMLER, CRAIG DAVIDCHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER
STEENO, JASON RAYMONDPRESIDENT2733742

Disclosures

Regulatory Event8
Arbitration1

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

CORECAP INVESTMENTS, LLC

CRD#: 37068

TRUST BUT VERIFY

Monitor Mark 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
Help Center
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.