Brian Fleming, financial advisor San Antonio TX

Brian Fleming

CRD Number: 5584141
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Brian Fleming (CRD# 5584141) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in San Antonio, TX and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Alta Loma, CA Dec 2017 - Current 6
Merrill Lynch, Pierce, Fenner & Smith Incorporated Alta Loma, CA Dec 2017 - Current 6
Bancwest Investment Services Downey, CA Jan 2017 - Dec 2017 < 1
Bank Of The West Downey, CA Jan 2017 - Dec 2017 < 1
Unemployed Placentia, CA Oct 2016 - Jan 2017 < 1
Charles Schwab & Company, Inc. Lone Tree, CO Nov 2009 - Oct 2016 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2008
S65 NASAA Investment Advisors Law Examination Mar 2017
Contact Info for Brian R. Fleming
Phone Number: 800-637-7455
Firm Website: https://www.merrill.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    1,271,594
    MILLIONS
  • Total Number of Accounts
    2,911,578
    ACCOUNTS
  • Average Account Value
    $436,737
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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