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JAMES DANIEL FLEMING
CRD#: 2673542
IA
B
MORGAN STANLEYCRD#: 149777 100 North Main Street
Suite 2500
Winston-Salem, NC 27101
Suite 2500
Winston-Salem, NC 27101
0
Disclosures
26
Years of Experience
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State Registrations
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Alabama 4/29/2022
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Nevada 3/15/2019
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Alaska 4/29/2022
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New Hampshire 5/25/2022
B
Arizona 5/11/2022
B
New Jersey 6/2/2022
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Arkansas 3/15/2019
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New Mexico 3/15/2019
B
California 5/11/2022
B
New York 5/25/2022
B
Colorado 5/11/2022
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North Carolina 11/16/2012
B
Connecticut 5/11/2022
B
North Carolina 11/19/2012
B
Delaware 2/25/2021
B
North Dakota 3/15/2019
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District of Columbia 5/11/2022
B
Ohio 5/27/2022
B
Florida 12/9/2014
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Oklahoma 5/25/2022
B
Georgia 12/9/2014
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Oregon 5/25/2022
B
Hawaii 9/19/2013
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Pennsylvania 5/25/2022
B
Idaho 5/25/2022
B
Puerto Rico 3/15/2019
B
Illinois 3/15/2019
B
Rhode Island 3/15/2019
B
Indiana 3/15/2019
B
South Carolina 3/9/2016
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Iowa 5/25/2022
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South Dakota 3/15/2019
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Kansas 5/25/2022
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Tennessee 5/25/2022
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Kentucky 5/25/2022
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Texas 3/15/2019
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Louisiana 5/25/2022
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Texas 4/23/2020
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Maine 5/25/2022
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Utah 3/15/2019
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Maryland 5/25/2022
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Vermont 5/25/2022
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Massachusetts 3/11/2019
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Virgin Islands 9/19/2013
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Michigan 5/25/2022
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Virginia 5/25/2022
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Minnesota 3/15/2019
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Washington 3/15/2019
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Mississippi 3/15/2019
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West Virginia 5/25/2022
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Missouri 4/29/2022
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Wisconsin 3/15/2019
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Montana 6/15/2021
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Wyoming 5/25/2022
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Nebraska 3/15/2019
SRO Registrations
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IA
Registered with this firm since 11/16/2012
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Registered with this firm since 11/16/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/10/2010 - 06/09/2011 | BURLINGTON, NC | |
B | 06/10/2010 - 06/09/2011 | BURLINGTON, NC | |
IA | 01/03/2005 - 06/01/2010 | DURHAM, NC | |
B | 01/03/2005 - 06/01/2010 | DURHAM, NC | |
IA | 11/21/2002 - 01/03/2005 | BURLINGTON, NC | |
B | 11/21/2002 - 01/03/2005 | DURHAM, NC | |
B | 08/13/2001 - 03/11/2002 | WEEHAWKEN, NJ | |
B | 11/05/1996 - 08/03/2001 | OMAHA, NE |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.