James Patrick Fleming

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2005 → 10/2017
  Caldwell & Orkin
  Norcross, GA
• 11/2009 → 10/2017
  Alps Distributors, Inc.
  Denver, CO
• 04/2019 → 08/2019
  Edward Jones
  St Louis, MO
• 10/2017 → 04/2019
  Unemployed
  Atlanta, GA
• 02/2020 → Present
  Morgan Stanley
  Atlanta, GA
• 09/2019 → 02/2020
  Havener Capital Partners
  Braintree, MA
• 01/2023 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2019-07-08 → 2019-08-30
  Edward Jones
  Atlanta, GA
  St Louis, MO

Exams

• S66 Uniform Combined State Law Examination
  2019-07-03
• S63 Uniform Securities Agent State Law Examination
  2000-11-17

Other Names

• James Patrick Fleming
• J. Patrick Fleming
• James P Fleming