TF
TF
Theodore Fleming
34 Years of Experience
Short Hills, NJ
3 DisclosuresBroker
Theodore Fleming is a registered investment advisor at Morgan Stanley, based in Short Hills, NJ, with 34 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
150 JFK Parkway, 2nd Floor, Short Hills, NJ, 07078
Get directionsHistory
Regulatory History (3)
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
January 1999Settled
Customer Dispute
November 1997Settled
Customer Dispute
November 1994Settled
Employment History
Current Registrations
Morgan Stanley
May 2019 - Present · 7 yrs
Morgan StanleyBroker
March 2019 - Present · 7 yrs 2 mos
Previous Registrations
LPL Financial LLC
November 2013 - July 2015 · 1 yr 8 mos
LPL Financial LLCBroker
November 2013 - July 2015 · 1 yr 8 mos
Wells Fargo Advisors, LLC
October 2011 - August 2013 · 1 yr 10 mos
Wells Fargo Advisors, LLCBroker
September 2011 - August 2013 · 1 yr 11 mos
Morgan Stanley Smith BarneyBroker
June 2009 - August 2011 · 2 yrs 2 mos
Morgan Stanley Smith Barney LLC
June 2009 - August 2011 · 2 yrs 2 mos
Citigroup Global Markets INC.
April 2003 - June 2009 · 6 yrs 2 mos
Citigroup Global Markets INC.Broker
November 1996 - June 2009 · 12 yrs 7 mos
Robert W. Baird & CO. IncorporatedBroker
January 1995 - November 1996 · 1 yr 10 mos
Chase Manhattan Investment Services, INC.Broker
March 1992 - January 1995 · 2 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1990 - February 1992 · 1 yr 4 mos
Empire National Securities, IncorporatedBroker
July 1990 - October 1990 · 3 mos
Shearson Lehman Hutton INC.Broker
July 1988 - April 1990 · 1 yr 9 mos
Thomas James Associates, INC.Broker
June 1987 - June 1988 · 1 yr
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.