Shawn Michael Fleming

Current Employers

Employment History

• 05/2009 → Present
  Professional Wealth Management Services Llc
  Statesville, NC

Previous Registrations

• 2007-04-30 → 2009-11-23
  Professional Advisory Services, Llc
  Statesville, NC

Other Businesses

CURRENTLY, SHAWN FLEMING IS INDEPENDENTLY LICENSED IN LIFE, ACCIDENT, AND HEALTH INSURANCES. IN THE COURSE OF PROVIDING COMPREHENSIVE FINANCIAL PLANNING, SHAWN MAY IDENTIFY GAPS IN A CLIENT'S INSURANCE COVERAGE AND RECOMMEND THAT THE CLIENT CONSIDER VARIOUS TYPES OF INSURANCE COVERAGE AS PART OF THE CLIENT'S PERSONAL RISK MANAGEMENT AND CONTINGENCY PLANNING. IF THE CLIENT WANTS ADDITIONAL INSURANCE COVERAGE BUT DOES NOT HAVE A PERSONAL INSURANCE AGENT, SHAWN WILL MAKE HIMSELF AVAILABLE TO HELP THE CLIENT AS AN INDEPENDENT INSURANCE AGENT. IN DOING SO, SHAWN WILL ENCOURAGE THE CLIENT TO MAKE PERSONAL RISK EVALUATIONS AND COST-BENEFIT ANALYSES WITH REGARD TO POTENTIAL INSURANCE COMPANIES, INSURANCE PRODUCTS, AND INSURANCE PROVIDERS WITHIN THE MARKETPLACE BEFORE COMMITTING TO AN INSURANCE PURCHASE. SHAWN PROVIDES WRITTEN DISCLOSURES TO THE CLIENT THAT STRESS THE IMPORTANCE OF SUCH COMPARISONS BY THE CLIENT AS A CONSUMER IN ADDITION TO EXPLAINING HIS REPRESENTATION AND COMPENSATION AS AN AGENT OF SPECIFIC INSURANCE COMPANIES. ANY INSURANCE-RELATED BUSINESS UNDERTAKEN BY SHAWN FLEMING IS PERFORMED FROM SHAWN'S PERSONAL RESIDENCE UNDER HIS OWN NAME AND IS NOT INVESTMENT-RELATED. LESS THAN 3 HOURS PER MONTH HAVE BEEN DEVOTED TO INSURANCE ACTIVITIES AT THIS POINT AND LESS THAN ONE OF THOSE HOURS PER MONTH HAS BEEN DURING SECURITIES TRADING HOURS. SHAWN FLEMING IS ALSO ACTIVELY ENGAGED IN GENERAL, NON-SECURITIES RELATED CONSULTING. THIS ACTIVITY HAS BEEN LIMITED SO FAR TO THE FIELDS OF GENERAL BUSINESS AND MANAGEMENT CONSULTING. THERE ARE NO FORESEEABLE CONFLICTS OF INTEREST BETWEEN PROFESSIONAL WEALTH MANAGEMENT SERVICES AND THE PERSONAL CONSULTING ACTIVITIES PERFORMED BY SHAWN FLEMING. ANY CONSULTING-RELATED BUSINESS UNDERTAKEN BY SHAWN FLEMING IS PERFORMED FROM SHAWN'S PERSONAL RESIDENCE UNDER HIS OWN NAME AND IS NOT INVESTMENT-RELATED. LESS THAN 9 HOURS PER MONTH HAVE BEEN DEVOTED TO CONSULTING ACTIVITIES AT THIS POINT AND APPROXIMATELY 2 OF THOSE HOURS PER MONTH HAVE BEEN DURING SECURITIES TRADING HOURS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-03-03

Designations