Stephen Fleming
Stephen Fleming is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Greenville, SC, with 29 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
219 N Pleasantburg Dr, Greenville, SC, 29607
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Stephen sells fixed insurance products including life, disability, annuities, and long-term care, dedicating a significant amount of time to this activity. He also owns a custard shop, sells coin collections on eBay, and operates a financial services DBA.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLCBroker
Previous Registrations
Cetera Advisors LLC
First Citizens Investor Services, INC.
First Citizens Investor Services, INC.Broker
Suntrust Investment Services, INC.
Suntrust Investment Services, INC.Broker
Northwestern Mutual Investment Services,llc
Robert W. Baird & CO. IncorporatedBroker
Northwestern Mutual Investment Services, LLCBroker
State Registrations3 states
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.