Mark Fleming

Charles Schwab & Co., Inc.

Philadelphia, PA

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Current Employers

Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2025-05-02

NJ RA
APPROVED

Since 2025-05-02

Branch Locations

300 Route 73 Suite D, Marlton, NJ 08053 • United States

1650 Market Street Suite 102, Philadelphia, PA 19103-7301 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Mt. Laurel	NJ	05/2008	04/2025
Charles Schwab & Co., Inc.	Marlton	NJ	04/2025	Present
Charles Schwab Bank, Ssb	Marlton	NJ	04/2025	Present

05/2008 → 04/2025

Ubs Financial Services Inc

Mt. Laurel, NJ
04/2025 → Present

Charles Schwab & Co., Inc.

Marlton, NJ
04/2025 → Present

Charles Schwab Bank, Ssb

Marlton, NJ

Previous Registrations

2008-05-08 → 2025-04-30

Ubs Financial Services Inc.

Princeton, NJ

Princeton, NJ

Weehawken, NJ

Northfield, NJ

Mt. Laurel, NJ
2003-09-03 → 2008-05-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Pennington, NJ

Pennington, NJ
2003-02-12 → 2003-08-29

Waddell & Reed

Monmouth Junction, NJ
2002-11-19 → 2002-12-16

Equitable Advisors, Llc

Manasquan, NJ

Other Businesses

1) Notary Public | Investment Related:No|Legal Services|Notary Public|3/1/2013|Less than 20|0|Offer notary service for family and friends at no cost

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-11-18

S66 Uniform Combined State Law Examination

2002-11-18

Other Names

Mark Edward Fleming

View on SEC IAPD

Other Firms

JANNEY MONTGOMERY SCOTT LLC

LINCOLN INVESTMENT

WELLS FARGO CLEARING SERVICES, LLC

CITIZENS SECURITIES, INC.

M FINANCIAL PLANNING SERVICES, INC

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

Other Investors

ALLISON TAYLOR CASEY

Douglass F Ergood, Jr

John Thomas Franchi

TREVOR CHARLES WAMPLER

DOUGLASS F ERGOOD

Frank Charles Midili

Other Offices

JANNEY MONTGOMERY SCOTT LLC · MARLTON, NJ

LINCOLN INVESTMENT · MARLTON, NJ

WELLS FARGO CLEARING SERVICES, LLC · MARLTON, NJ

CITIZENS SECURITIES, INC. · MARLTON, NJ

MORGAN STANLEY · Marlton, NJ

M FINANCIAL PLANNING SERVICES, INC · MARLTON, NJ

LPL FINANCIAL LLC · MARLTON, NJ

OSAIC WEALTH, INC. · MARLTON, NJ

More in Marlton, NJ

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