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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)42 years in industry

JOHN EDWARD FLEMING

Advisor at CETERA INVESTMENT ADVISERS LLC

ALTOONA, PA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 1, 1998 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 11, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S65|S63
First exam: Sep 11, 1984
First registration: Jun 1, 1998
Dual registered: yes, broker-dealer
Other names: JEFF FLEMING
IAPD individual key: 1284986

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Nov 12, 2020	n/a	yes	ALTOONA, PA	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jan 28, 2016	Nov 12, 2020	no	Altoona, PA\|SAN DIEGO, CA	Previous registration
1ST GLOBAL ADVISORS INC	Former SEC adviser	Oct 17, 2007	Jan 29, 2016	no	ALTOONA, PA	Previous registration
HANCOCK CAPITAL MANAGEMENT, INC.	Former SEC adviser	Jun 1, 1998	Aug 3, 2005	no	ALTOONA, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST ALLIED ADVISORY SERVICES, INC.	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
1ST GLOBAL ADVISORS INC	FIRST ALLIED ADVISORY SERVICES, INC.	Jan 29, 2016	Jan 28, 2016	-1	Firm change	Other
HANCOCK CAPITAL MANAGEMENT, INC.	1ST GLOBAL ADVISORS INC	Aug 3, 2005	Oct 17, 2007	805	Firm change after gap	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jan 28, 2016 to Nov 12, 2020factForm ADV
→ 1ST GLOBAL ADVISORS INCRegistered adviserregistration: previous registration
Oct 17, 2007 to Jan 29, 2016factForm ADV
→ HANCOCK CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Jun 1, 1998 to Aug 3, 2005factForm ADV

Dated events

No dated event names this entity yet.