Patricia Fleming, financial advisor San Diego CA

Patricia Fleming

CRD Number: 1960175
Current Firm: Lpl Financial LLC

Patricia Fleming (CRD# 1960175) is an Investment Advisor Representative working at Lpl Financial LLC in San Diego, CA and has over 32 years of experience in the finance industry. Patricia 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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Lpl Financial LLC
Professional Designations
Company Name Location Dates Years
Lpl Financial LLC San Diego, CA Jul 2021 - Current 2
Women In Blue Executive Cabinet San Diego, CA Jan 2019 - Jul 2021 2
Lumena Financial Strategies, Inc. San Diego, CA Mar 2017 - Jul 2021 4
Various Insurance Carriers For W&r Insurance Agencies Rancho Santa Fe, CA Sep 1989 - Jul 2021 31
Waddell & Reed, Inc. San Diego, CA Jun 1989 - Jul 2021 32
Act Today ( Autism Care & Treatment Woodland Hills, CA Dec 2016 - Oct 2020 3
Ruch-fleming Partnerhship San Diego, CA Jan 2014 - Sep 2018 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1991
S65 NASAA Investment Advisors Law Examination Jun 1998
Contact Info for Patricia A. Fleming
Phone Number: 704-733-3300
Registered State(s):
  • AL
  • AR
  • CA
  • CO
  • DC
  • FL
  • IL
  • KS
  • KY
  • ME
  • MD
  • MN
  • MO
  • MT
  • NV
  • NC
  • OH
  • SC
  • TX
  • VA
  • WA
  • WI
  • WY
By the Numbers
  • Total Assets Under Management
    368,019
    MILLIONS
  • Total Number of Accounts
    1,688,501
    ACCOUNTS
  • Average Account Value
    $217,956
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
  • Other
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, VI, VT, WA, WI, WV, WY

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