JF
CFP · ChFC
JF
CFP · ChFC
John Fleming is a CFP, ChFC-designated registered investment advisor, based in Altoona, PA, with 39 years of industry experience.
Location
1401 9th Avenue, Altoona, PA, 16602
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
May 2010Final Disposition
Other Business ActivitiesSells Insurance
John is involved in several business activities, including holding companies, real estate, tax preparation, and legal services. He also works as an insurance agent selling fixed, life, health, and property & casualty insurance, and spends nearly full-time as an attorney.
Employment History
Current Registrations
Cetera Advisors LLCBroker
September 2022 - Present · 3 yrs 10 mos
Cetera Investment Advisers LLC
November 2020 - Present · 5 yrs 8 mos
Previous Registrations
First Allied Securities, INC.Broker
January 2016 - September 2022 · 6 yrs 8 mos
First Allied Advisory Services, INC.
January 2016 - November 2020 · 4 yrs 10 mos
1st Global Capital CORP.Broker
October 2007 - January 2016 · 8 yrs 3 mos
1st Global Advisors INC
October 2007 - January 2016 · 8 yrs 3 mos
NFP Securities, INC.Broker
July 2005 - October 2007 · 2 yrs 3 mos
Hancock Capital Management, INC.
June 1998 - August 2005 · 7 yrs 2 mos
Princor Financial Services CorporationBroker
October 1994 - July 2005 · 10 yrs 9 mos
Cadaret, Grant & CO., INC.Broker
May 1994 - September 1994 · 4 mos
Jaron Equities CORP.Broker
July 1992 - June 1993 · 11 mos
Franklin Financial Services CorporationBroker
April 1991 - July 1993 · 2 yrs 3 mos
Mutual Service CorporationBroker
January 1988 - November 1990 · 2 yrs 10 mos
John Hancock Distributors, INC.Broker
August 1985 - October 1987 · 2 yrs 2 mos
Financial Estate Planning, INC.Broker
August 1984 - June 1985 · 10 mos
State Registrations18 states
AZCACOCTDEFLMAMDNCNJNYOHPASCTNTXVAWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.