James Daniel Fleming

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-04-23
NC	RA	APPROVED	2012-11-16

TX RA
APPROVED_RES

Since 2020-04-23
NC RA
APPROVED

Since 2012-11-16

Branch Locations

100 North Main Street Suite 2500, Winston-Salem, NC 27101 • 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
Morgan Stanley	Winston-Salem	NC	11/2012	Present

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

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-08-24
S63	Uniform Securities Agent State Law Examination	1996-11-11

S66 Uniform Combined State Law Examination

2001-08-24
S63 Uniform Securities Agent State Law Examination

1996-11-11

View on SEC IAPD