FLEMING JOSEPH DANIEL appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. FLEMING JOSEPH DANIEL appears on 4 filing roles across Form ADV (4).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | RBC CAPITAL MARKETS, LLC | SR. VP, CHIEF COMPLIANCE OFFICER, WEALTH MANAGEMENT | NEW YORK, NY |
| — | Form ADV | AMERIPRISE FINANCIAL SERVICES, LLC | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | MINNEAPOLIS, MN |
| — | Form ADV | U.S. BANCORP ASSET MANAGEMENT, INC. | CHIEF COMPLIANCE OFFICER | MINNEAPOLIS, MN |
| — | Form ADV | PIPER SANDLER & CO. | CCO, CROP | MINNEAPOLIS, MN |