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Brian Fleming

Janney Montgomery Scott LLC
39 Years of Experience
Bryn Mawr, PA
2 DisclosuresBroker
View SEC Summary
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Brian Fleming is a registered investment advisor at Janney Montgomery Scott LLC, based in Bryn Mawr, PA, with 39 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 243,808 clients with $110B in assets under management.

Janney Montgomery Scott LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1340 advisors
Number of Clients
243,808 clients
Average Client Portfolio
$452K average
Assets Under Management
$110.1B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5.0M - $10.0M2.00%
$10.0M - $25.0M2.00%
$25M+2.00%

Fees represent maximum financial advisor fees; additional third-party manager sub-advisory fees may apply depending on the program. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

40 Morris Avenue, Suite 200, Bryn Mawr, PA, 19010

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History

Regulatory History (2)
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.
Customer Dispute
April 2009
Denied
Customer Dispute
May 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brian is a finance committee member for St John Neumann Parish, offering opinions on funding needs and evaluating capital expenditures. He dedicates minimal time to this uncompensated, non-investment related activity.

Employment History
Current Registrations
Janney Montgomery Scott LLC
April 2009 - Present · 17 yrs 6 mos
Janney Montgomery Scott LLCBroker
April 2009 - Present · 17 yrs 6 mos
Previous Registrations
Citigroup Global Markets INC.Broker
February 2006 - May 2009 · 3 yrs 3 mos
Legg Mason Wood Walker, IncorporatedBroker
November 1987 - February 2006 · 18 yrs 3 mos
Legg Mason Masten INC.Broker
October 1987 - November 1987 · 1 mo
Legg Mason Wood Walker, IncorporatedBroker
January 1987 - October 1987 · 9 mos
State Registrations26 states
ARAZCACOCTDCDEFLGAILKSMAMDMENCNJNVNYOKPASCTNTXVAVTWA
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.
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