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Brian David Fleming

Focus Financial

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About Brian David Fleming

Brian Fleming is a financial advisor with Focus Financial and has been in the financial services industry since 1999. Brian is registered with the Securities and Exchange Commission (SEC) and holds Series 6, 7, 63, and 65 licenses. Brian is also registered in 22 states to provide investment advisory services. Brian offers financial planning, portfolio management for businesses and individuals, and pension consulting services.

Firm Information

Brian Fleming is currently registered with Focus Financial. Focus Financial is an investment advisory firm based in Minneapolis, Minnesota. They offer financial planning, portfolio management for individuals and businesses, and pension consulting. The firm manages over $5 billion in assets for clients including high-net-worth individuals, corporations, pension plans, and charitable organizations. They participate in wrap fee programs.
Focus Financial

1300 GODWARD STREET NE

MINNEAPOLIS, MN 55413

$5.39B

Assets Under Management

50

Total Clients

112

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Percentage of assets under management with third party manager

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Brian Fleming’s Registration & Firm History

MN

10/14/2024 - Present

Focus Financial (ALEXANDRIA MN)

MN

01/03/2005 - 11/19/2012

WOODBURY FINANCIAL SERVICES, INC. (ALEXANDRIA MN)

NJ

07/13/1999 - 01/06/2005

PRUCO SECURITIES, LLC. (NEWARK NJ)

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Licenses & Designations

IA

Issued 10/24/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/19/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/08/2001

Series 7 - General Securities Representative Examination

BC

Issued 07/12/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian David Fleming.
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