Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Fleming is a financial professional with over 17 years of experience in the industry. John has a strong track record of success in providing investment advice and portfolio management services to a wide range of clients. John is a registered representative of Oppenheimer & Co. Inc. and holds several industry licenses including Series 7, 10, 24, 63, 79, 86 and 87. Prior to joining Oppenheimer & Co. Inc., John was a financial advisor at Robert W. Baird & Co. Incorporated. John specializes in providing investment advice to individuals, businesses, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
08/18/2016 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NJ
03/28/2013 - 08/30/2016
ROBERT W. BAIRD & CO. INCORPORATED (ROSELAND NJ)
NJ
03/03/2008 - 04/04/2013
GLEACHER & COMPANY SECURITIES, INC. (ROSELAND NJ)
NY
07/07/2006 - 03/04/2008
BNY CAPITAL MARKETS INC. (NEW YORK NY)
NY
11/08/2001 - 06/13/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 07/14/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/05/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/2014
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/24/2006
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 08/11/2006
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 06/22/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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