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Advisor at FLEMING FINANCIAL SERVICES
MESA, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| FLEMING FINANCIAL SERVICES | State registered | Sep 17, 2009 | n/a | yes | MESA, AZ | Current employment |
| FLEMING FINANCIAL SERVICES | State registered | Sep 17, 2009 | Dec 31, 2016 | no | MESA, AZ | Previous registration |
| OSAIC FA, INC. | Former SEC adviser | Jul 30, 2003 | Dec 15, 2005 | no | PHOENIX, AZ | Previous registration |
| SUNAMERICA SECURITIES, INC. | n/a | Feb 7, 2002 | Jun 27, 2003 | no | MESA, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC FA, INC. | FLEMING FINANCIAL SERVICES | Dec 15, 2005 | Sep 17, 2009 | 1,372 | Firm change after gap | Other |
| SUNAMERICA SECURITIES, INC. | OSAIC FA, INC. | Jun 27, 2003 | Jul 30, 2003 | 33 | Firm change | Other |