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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Fleming is a financial advisor with Cetera Investment Advisers LLC. Stephen has been in the financial services industry since 1997 and has experience working with various firms. Stephen holds the Series 6, 7, 63, and 65 licenses, and has also obtained the SIE license. Stephen is a Certified Financial Planner™ and specializes in financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals and businesses. Stephen is a member of the Cetera Investment Advisers LLC team and is committed to providing clients with personalized financial advice.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
A percentage of the total value of assets under management is charged.
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2
SC
03/21/2024 - Present
Cetera Investment Advisers LLC (GREENVILLE SC)
NC
08/06/2007 - 09/16/2014
FIRST CITIZENS INVESTOR SERVICES, INC. (HENDERSONVILLE NC)
SC
07/24/2006 - 08/07/2007
SUNTRUST INVESTMENT SERVICES, INC. (GREENVILLE SC)
SC
01/07/1997 - 07/17/2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (GREENVILLE SC)
WI
07/11/2000 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 03/23/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/31/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/2005
Series 7 - General Securities Representative Examination
BC
Issued 01/06/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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