Daniel James Fleming

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

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

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2020-11-06
CA	RA	APPROVED	2019-06-19
TX	RA	APPROVED	2019-06-19

Branch Locations

Arrington, TN • United States

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

Organization	City	State	From	To
Foresters Advisory Services Llc	San Diego	CA	07/2013	06/2019
Foresters Financial Services	San Diego	CA	01/2016	06/2019
North American Versatile Hunting Dog Association	Winchester	CA	07/2018	Present
Aig	San Diego	CA	04/2019	Present
Cetera Investment Services Llc	St Cloud	MN	06/2019	Present
Cetera Investment Advisers Llc	San Diego	CA	06/2019	Present

07/2013 → 06/2019

Foresters Advisory Services Llc

San Diego, CA
01/2016 → 06/2019

Foresters Financial Services

San Diego, CA
07/2018 → Present

North American Versatile Hunting Dog Association

Winchester, CA
04/2019 → Present

Aig

San Diego, CA
06/2019 → Present

Cetera Investment Services Llc

St Cloud, MN
06/2019 → Present

Cetera Investment Advisers Llc

San Diego, CA

1.) OWNER AND FINANCIAL ADVISOR AT FLEMING FINANCIAL PLANNING; DBA FOR CETERA BUSINESS

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-07-12
S63	Uniform Securities Agent State Law Examination	2009-05-29

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