John Fleming, financial advisor Altoona PA

John Fleming

CRD Number: 1284986
Current Firm: First Allied Advisory Services, Inc.

John Fleming (CRD# 1284986) is an Investment Advisor Representative working at First Allied Advisory Services, Inc. in Altoona, PA and has over 36 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.

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Professional Designations
Company Name Location Dates Years
First Allied Securities, Inc. San Diego, CA Jan 2016 - Current 5
Hippo, Fleming & Pertile Law Office Altoona, PA Dec 2012 - Current 8
Vip Ventures, LLC Altoona, PA Mar 2005 - Current 15
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
Disclosure Information

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.

Get Details on the FINRA Advisor Check site
Contact Info for John E. Fleming
Phone Number: 866-378-1376
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    7,000
    MILLIONS
  • Total Number of Accounts
    29,608
    ACCOUNTS
  • Average Account Value
    $236,434
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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
Types of Clients
Registered States

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

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Data verified by both the advisor and the public regulatory data.

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