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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 Michael Fleming is a financial advisor with Cetera Investment Advisers LLC, a firm based in Schaumburg, Illinois. Stephen has been in the financial services industry since 1997 and has a strong background in providing financial planning and investment management services to individuals, families, and businesses. Stephen holds the Series 6, 7, 63, and 65 securities licenses and is also a Certified Financial Planner. Stephen has extensive experience working with clients on various financial planning needs, including retirement planning, college savings, and estate planning. He is committed to providing personalized financial advice and guidance to help clients achieve their financial goals.
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.
1
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 3/23/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/31/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/23/2005
Series 7 - General Securities Representative Examination
BC
Issued 1/6/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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