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David Fleming

Citizens JMP Securities, LLC

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About David Fleming

David Fleming is a financial advisor with Citizens JMP Securities, LLC, with over 14 years of experience in the financial industry. David has been registered with FINRA since 2008 and holds Series 7, Series 63, SIE and Series 79TO licenses. David's previous experience includes roles with Houlihan Lokey Capital, Inc., Credit Suisse Securities (USA) LLC, DCS Advisory LLC, Citigroup Global Markets Inc., and American Express Financial Advisors Inc. David is currently licensed in Ohio.

Firm Information

David Fleming is currently registered with Citizens JMP Securities, LLC. Citizens JMP Securities, LLC, a Limited Liability Company, was formed in 2002 and is approved in all 50 states and the District of Columbia. The firm has received one SEC registration and 51 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

238

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.

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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David Fleming’s Registration & Firm History

OH

12/13/2023 - Present

Citizens JMP Securities, LLC (Cleveland OH)

NY

05/10/2022 - 11/28/2023

HOULIHAN LOKEY CAPITAL, INC. (NEW YORK NY)

NY

05/07/2018 - 07/20/2021

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

09/25/2014 - 04/19/2018

DCS ADVISORY LLC (NEW YORK NY)

NY

09/30/2008 - 02/06/2014

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

MN

07/12/2002 - 10/18/2002

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

07/12/2002 - 10/18/2002

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 10/01/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/29/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David Fleming.
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