John Fleming (CRD# 1284986) is an Investment Advisor Representative working at First Allied Advisory Services, Inc. in Altoona, PA and has over 33 years of experience in the finance industry. John Fleming has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 1187566
Axa Advisors, LLC
Score
98
CRD# 2563777
Vimcor
Score
98
CRD# 39190
Hancock Capital Management, Inc.
Score
96
The CFP is the gold standard for financial professionals who perform comprehensive financial planning. CFPs must undergo rigorous exams and meet other requirements to obtain this designation.
Like the CFP, ChFCs take extensive coursework on a wide variety of financial planning topics. ChFCs actually take more coursework than CFPs, but are not required to prove their knowledge through a board examination.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| First Allied Securities, Inc. | San Diego, CA | Jan 2016 - Current | 2 |
| Hippo, Fleming & Pertile Law Office | Altoona, PA | Dec 2012 - Current | 5 |
| Vip Ventures, LLC | Altoona, PA | Mar 2005 - Current | 13 |
| 1st Global Insurance Services, Inc. | Altoona, PA | May 2008 - Jan 2016 | 7 |
| 1st Global Capital Corp. | Altoona, PA | Oct 2007 - Jan 2016 | 8 |
| 1st Global Advisors, Inc. | Altoona, PA | Oct 2007 - Jan 2016 | 8 |
| Hippo & Fleming Law Offices | Altoona, PA | Jan 2005 - Dec 2012 | 7 |
| Nfp Securities, Inc. | Altoona, PA | Jul 2005 - Oct 2007 | 2 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Sep 1984 |
| S65 | NASAA Investment Advisors Law Examination | Jul 1997 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Financial Issue
- Criminal Record
- PA
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Total Assets Under Management4,543MILLIONS
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Total Number of Accounts23,384ACCOUNTS
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Average Account Value$194,276
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
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- Financial planning services
- 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
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