Timothy Francis Fleming

Current Employers

Employment History

• 06/2010 → Present
  Lpl Financial, Llc
  Glendale, AZ
• 06/2013 → Present
  Fleming Wealth Strategies, Llc
  Glendale, AZ

Previous Registrations

• 2013-07-16 → 2022-12-31
  Fleming Wealth Strategies, Llc
  Glendale, AZ
• 2003-07-02 → 2010-06-28
  Charles Schwab & Co., Inc.
  Phoenix, AZ
  Phoenix, AZ
• 2000-12-14 → 2003-06-04
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Tucson, AZ

Other Businesses

(1) 06/21/2010: Fleming Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). (2) 7/11/2013: Eatmore Cheesecake LLC - Not Investment Related - Other-Family Business - Time Spent 1% - MEMBER/OWNER OF EATMORE CHEESECAKE LLC. THIS LLC OVERSEES THE ACTIVITIES OF MY CYCLING TEAM, A CYCLING WEBSITE FOR THE TEAM, AND A GROUP RIDE I ORGANIZE IN ARIZONA (CALLED THE UNDERGROUND CRIT). (3) 1/30/2014: Fleming Wealth Strategies - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 06/2010 - 120 Hours Per Month - Time Spent 75% - I provide investment advisory services through Fleming Wealth Strategies, an independent investment advisor firm. I started this business activity in 06/2010. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (4) 11/7/2016: Fleming Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/26/2016 - 10 Hours Per Month/5 Hours During Securities Trading - LTCi. (5) 1/10/2022 - On the Pitch LLC - Not Investment Related - various soccer fields - Other-Soccer coaching / tournament - Owner - Started 02/01/2022 - 10 Hours Per Month/0 Hours During Securities Trading - Starting a soccer coaching program (private training for a fee) and a possible soccer tournament in 2022. (6) 11/02/2023 - Deer Valley School District - Other - Soccer Coach - Not Investment Related - Glendale, AZ - Start Date 11/25/2023 - 32 Hours Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  1998-03-17

Designations

Other Names

• Timothy F Fleming