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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theodore? Claim Your ProfileTheodore Fleming is a financial advisor in Los Angeles, CA. Theodore has been in the industry since 1991 and currently works for Wealthpenn.comllc. Previously, Theodore Fleming was registered with several other firms, including LPL Financial LLC, Wells Fargo Advisors, LLC, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Robert W. Baird & Co. Incorporated, Chase Manhattan Investment Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Empire National Securities, Incorporated, and Shearson Lehman Hutton Inc. Theodore Fleming is also a registered investment advisor and has both Series 65 and Series 66 licenses.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
CA
08/30/2019 - Present
Wealthpenn.comllc (Los Angeles CA)
FL
11/05/2013 - 07/16/2015
LPL FINANCIAL LLC (TAMPA FL)
FL
09/27/2011 - 08/26/2013
WELLS FARGO ADVISORS, LLC (ORLANDO FL)
CO
06/01/2009 - 08/26/2011
MORGAN STANLEY SMITH BARNEY (BOULDER CO)
MO
11/11/1996 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (KANSAS CITY MO)
WI
01/11/1995 - 11/14/1996
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IL
03/06/1992 - 01/13/1995
CHASE MANHATTAN INVESTMENT SERVICES, INC. (CHICAGO IL)
NY
10/09/1990 - 02/07/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
07/10/1990 - 10/02/1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
NY
07/27/1988 - 04/26/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
06/24/1987 - 06/22/1988
THOMAS JAMES ASSOCIATES, INC.
BOTH
Issued 5/30/2019
Series 66 - Uniform Combined State Law Examination
IA
Issued 4/16/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/3/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/8/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 4/17/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 4/28/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 7/10/2019
Series 3 - National Commodity Futures Examination
BC
Issued 3/29/2019
Series 7TO - General Securities Representative Examination
BC
Issued 7/16/2015
SIE - Securities Industry Essentials Examination
BC
Issued 6/20/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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