Brian David Fleming

Current Employers

Employment History

• 11/2012 → Present
  Osaic Wealth, Inc.
  Alexandria, MN
• 11/2012 → Present
  Focus Financial
  Alexandria, MN

Other Businesses

1. FOCUS FINANCIAL NETWORK INC.; NOT INVESTMENT-RELATED; 307 N. NOKOMIS STREET, SUITE 112, ALEXANDRIA, MN 56308 ; INSURANCE AGENCY; SALE AND SERVICE OF FIXED INSURANCE PRODUCTS; INSURANCE AGENT; 11/2012; 15% OF TIME; 100% DURING TRADING HOURS. 2. BOY SCOUTS, CUB SCOUTS POSITION: Board Member, Volunteer NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/15/2015; ADDRESS: 605 Douglas St, Alexandria MN 56308 DESCRIPTION: Volunteer with Cub Scouts and Boy Scouts in local community. 3. FOCUS FINANCIAL POSITION: Financial Advisor NATURE: Registered Investment Adviser INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 11/15/2012 ADDRESS: 307 North Nokomis Street, Suite 112, Alexandria MN 56308, United States DESCRIPTION: Monitor investment portfolios for clients 4. BRIAN D FLEMING POSITION: Statutory Agent - NATURE: Fixed Insurance - Trail commissions only, no new business INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2012 ADDRESS: 307 N Nokomis St, Suite 112, Alexandria, MN 56308, Alexandria MN 56308, United States DESCRIPTION: Receive trails commissions of fixed insurance products, insurance agent 5. MUNCHAUSEN SUPPORT POSITION: President NATURE: Nonprofit INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 12/08/2023 ADDRESS: 10016 EDMONDS WAY, SUITE C 122, Edmonds WA 98020-5107, United States DESCRIPTION: Oversee board meetings and work on committees, volunteer at events 6. NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS MINNESOTA POSITION: Past President NATURE: Non-Profit - Provides continuing education and advocacy for insurance and financial advisors INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2007 ADDRESS: 4707 Highway 61 N, #181, White Bear Lake MN 55110, United States DESCRIPTION: Past President - Board member 7. LOTT HARPER FINANCIAL LLC POSITION: Member Owner NATURE: LLC - I am setting up an LLC so I can make an S-Corporation election on my taxes INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2026 ADDRESS: 307 North Nokomis Street, Alexandria MN 56308, United States DESCRIPTION: I will be the Sole Member Owner of an LLC so I can elect S-Corp tax treatment. I will continue to use Focus Financial, Lakes Area Group as the name held out to the public.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-10-24
• S63 Uniform Securities Agent State Law Examination
  1999-07-19