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Sean Michael Fleming

Fleming Financial Services

Mesa, AZ

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Current Employers
Fleming Financial Services

4702 E. Southern Av, Mesa, AZ 85206 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2018-02-14
  • AZ RA
    APPROVED
    Since 2018-02-14

Branch Locations

4702 E. Southern Av, Mesa, AZ 85206 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Fleming Financial Services Gilbert AZ 06/2013 Present
Previous Registrations
Other Businesses

My Smart Retirement Weekly Radio Show airing Saturday mornings at 10am on Money Radio 1510am and 105.3 fm. Also available on ITunes, Money Radio Archives, and Google Playstore Insurance Licensed Selling Life and health

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-11-23
  • S65 Uniform Investment Adviser Law Examination
    2015-11-23

View on SEC IAPD

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