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Inactive

William James Fleming

Advisory Services Network

Atlanta, GA

Castle Rock, CO

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Current Employers
Advisory Services Network

900 Ashwood Parkway Suite 500, Atlanta, GA 30338 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-03-22
CO RA APPROVED 2019-03-20
  • TX RA
    APPROVED_RES
    Since 2019-03-22
  • CO RA
    APPROVED
    Since 2019-03-20

Branch Locations

900 Ashwood Parkway Suite 500, Atlanta, GA 30338 • United States

509 N Wilcox Street Suite 101, Castle Rock, CO 80104 • 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
Lpl Financial Corporation Greenwood Village CO 09/2009 03/2019
Western Wealth Management Llc Denver CO 06/2016 03/2019
Calton & Associates, Inc. Tampa FL 03/2019 09/2025
Advisory Services Network, Llc Atlanta GA 03/2019 Present
  • 09/2009 → 03/2019
    Lpl Financial Corporation
    Greenwood Village, CO
  • 06/2016 → 03/2019
    Denver, CO
  • 03/2019 → 09/2025
    Calton & Associates, Inc.
    Tampa, FL
  • 03/2019 → Present
    Advisory Services Network, Llc
    Atlanta, GA
Previous Registrations
Other Businesses

1. Name of Business: WJFJ, Inc. Investment related. Address: 3934 S. Peach Way, Denver, CO 80237. Nature of Business: Insurance Sales and Life Annuities. Position/Title/Relationship: Owner. Start Date: 06/1986. Hours per month: 5. Hours per month during Securities trading hours: 5. Duties/Responsibilities: Life insurance and annuity sales.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-07-16
  • S63 Uniform Securities Agent State Law Examination
    1996-07-16
Other Names
  • Jim Fleming

View on SEC IAPD

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