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Andrew John Fleming

LPl Financial LLC

Sherman Oaks, CA

Santa Monica, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-07-21
NH RA APPROVED 2021-07-21
  • CA RA
    APPROVED
    Since 2021-07-21
  • NH RA
    APPROVED
    Since 2021-07-21

Branch Locations

15060 Ventura Blvd Ste 200, Sherman Oaks, CA 91403 • United States

Santa Monica, CA • 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
OrganizationCityStateFromTo
Waddell & Reed, Inc Sherman Oaks CA 06/2013 07/2021
Various Insurance Carriers For W&R Insurance Agencies Santa Monica CA 09/2013 07/2021
Sherman Oaks Business Builders Sherman Oaks CA 11/2014 01/2017
Lpl Financial Llc Sherman Oaks CA 07/2021 Present
  • 06/2013 → 07/2021
    Waddell & Reed, Inc
    Sherman Oaks, CA
  • 09/2013 → 07/2021
    Various Insurance Carriers For W&R Insurance Agencies
    Santa Monica, CA
  • 11/2014 → 01/2017
    Sherman Oaks Business Builders
    Sherman Oaks, CA
  • 07/2021 → Present
    Lpl Financial Llc
    Sherman Oaks, CA
Previous Registrations
  • 2013-09-05 → 2021-07-21
    Waddell & Reed
    Pasadena, CA
    Las Vegas, NV
    Torrance, CA
    Sherman Oaks, CA
Other Businesses

1) 7/2021- Andrew Fleming - Non-Variable Insurance- Insurance Agency- inv. related- SHERMAN OAKS, CA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-05
  • S66 Uniform Combined State Law Examination
    2013-09-05
Designations
Other Names
  • Drew Fleming

View on SEC IAPD

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Other Offices

MORPHEUS ADVISORS · SHERMAN OAKS, CA
BELAY INVESTMENT GROUP, LLC · SHERMAN OAKS, CA
HIGHLINE ASSET MANAGEMENT, LLC · SHERMAN OAKS, CA
HIGHLINE WEALTH PARTNERS · SHERMAN OAKS, CA
WRW WEALTH ADVISORS · SHERMAN OAKS, CA
MORGAN STANLEY · Sherman Oaks, CA
UBS FINANCIAL SERVICES INC. · Sherman Oaks, CA
KATAM HILL LLC · SHERMAN OAKS, CA

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