Stephen Michael Fleming

Current Employers

Employment History

• 09/2014 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2007-08-07 → 2014-09-16
  First Citizens Investor Services, Inc.
  Raleigh, NC
  Hendersonville, NC
• 2006-07-26 → 2007-08-07
  Truist Investment Services, Inc.
  Greenville, SC
• 2006-02-24 → 2006-07-17
  Northwestern Mutual Investment Services, Llc
  Greenville, SC
  Greenville, SC

Other Businesses

1.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START SEPTEMBER 2014, 30 HRS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, DISABILITY, ANNUITIES & LONG-TERM CARE. 2.NUMISMATICS, NOT INVESTMENT RELATED, ADDRESS IS THE RESIDENTIAL LOCATION, SALES OF COIN COLLECTIONS ON EBAY, START SEPTEMBER 2014, LESS THAN 5 HOURS PER WEEK - NOT DURING TRADING HOURS, OWNER. 3. NAME OF OTHER BUSINESS: ABCD TREATS OF GREENVILLE LP; INVESTMENT RELATED: NO; ADDRESS: 2400 A N PLEASANTBURG DR, GREENVILLE, SC 29609; NATURE OF BUSINESS: ITALIAN ICE AND CUSTARD SHOP; START DATE: 12/2018; POSITION/TITLE/RELATIONSHIP: OWNER / PARTNER APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE, MANAGER OVERSIGHT; 4. NAME OF OTHER BUSINESS: NABELL WINSLOW INVESTMENTS AND WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2014, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY SERVICES; START DATE: 12/2025; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROVIDE NOTARY SERVICES;

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-03-23
• S63 Uniform Securities Agent State Law Examination
  2000-07-31

Designations

Other Names

• Steve Fleming