James Daniel Fleming

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2012 → Present
  Morgan Stanley
  Winston-Salem, NC

Previous Registrations

• 2010-06-10 → 2011-06-09
  Uvest Financial Services Group, Inc.
  Burlington, NC
  Charlotte, NC
  Burlington, NC
  Mebane, NC
  Gibsonville, NC
  Liberty, NC
  Yanceyville, NC
  Greensboro, NC
  Greensboro, NC
  Stoneville, NC
  Reidsville, NC
  Winston Salem, NC
  Clemmons, NC
  Kernersville, NC
  Stokesdale, NC
• 2005-01-03 → 2010-06-01
  Truist Investment Services, Inc.
  Greensboro, NC
  Burlington, NC
  Burlington, NC
  Durham, NC
• 2002-11-21 → 2005-01-03
  Ncf Financial Services, Inc.
  Burlington, NC

Other Businesses

*373680 - Collectible Impulse; Investment related - Yes; Burlington, North Carolina; Retail/Online Stores; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); Jul 2019; During business hours: 0; After business hours: 8; Sales/Marketing

Exams

• S66 Uniform Combined State Law Examination
  2001-08-24
• S63 Uniform Securities Agent State Law Examination
  1996-11-11