Role at Stonebridge Advisors
- Title on Schedule A
- Chief Executive Officer
- Control
- Scott Fleming is a control person of Stonebridge Advisors.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Scott Fleming has held the filed role since December 2004.
The firm
Form ADV filed 18 March 2026
Career on record
- Stonebridge Asset Management,llc– · 8 yearsWilton, CT · Adviser representative · Firm CRD 125155
- Passed Series 65 · 2003
- Passed Series 24, Series 27 and Series 3 · 1987
- Passed Series 63 · 1986
- Passed Series 7 · 1985
Registrations and exams
No current adviser or broker registration. Scott Fleming has passed 6 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 30 January 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 December 1986 |
| Series 27 | Financial and Operations Principal Examination | 23 October 1987 |
| Series 24 | General Securities Principal Examination | 8 June 1987 |
| Series 3 | National Commodity Futures Examination | 20 November 1987 |
| Series 7 | General Securities Representative Examination | 19 January 1985 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Scott Thomas Fleming
- CRD
- 1326991
- Registration status
- No current adviser or broker registration
- Firm bio
- stonebridgeft.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Stonebridge’s December 2025 team biography identifies Scott Fleming as the firm’s founder. Stonebridge December 2025 team biography
Education
- B.S. in Accounting, Bentley UniversityStonebridge December 2025 team biography
- M.B.A. in Finance, Babson CollegeStonebridge December 2025 team biography
Common questions
Where does Scott Fleming work?
Scott Fleming has been Chief Executive Officer of Stonebridge Advisors LLC since December 2004, and is a control person of the firm.
Does Scott Fleming have a current investment-adviser registration?
Scott Fleming has no current investment-adviser or broker registration, as of 17 October 2026.
What exams has Scott Fleming passed?
Scott Fleming has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 27, Series 3 and Series 65. The earliest, the Series 7, was passed in January 1985.
Where was Scott Fleming previously registered as an investment adviser?
Scott Fleming has past investment-adviser registrations through Stonebridge Advisors LLC, March 2005 to December 2025; Stonebridge Asset Management,llc, May 2003 to March 2011, across 2 firms.
Leadership at Stonebridge Advisors
- James DykasChief Financial Officer
- Samantha AddonizioChief Compliance Officer & Counsel
- James BowenChairman of the Board
- Angelo GraciEVP, PM
- William JardineSecretary
- David McGarelDirector
- Craig PrichardDirector
- Eric WeaverEVP, PM
- Robert WolfEVP, CIO