Joseph Fleming portrait

Joseph Fleming

Adjunct Faculty, Senior Vice President and Director of Compliance at RBC Wealth Management
Degree
J.D., University of Minnesota Law School
B.A., University of St. Thomas

Joe Fleming is Chief Compliance Officer for the Wealth Management division of RBC Capital Markets LLC, including its RIA. He’s served in those capacities since 2005.  Formerly, he was Chief Compliance Officer at Piper Jaffray. He also served as Director of Compliance for U.S. Bancorp Piper Jaffray Asset Management. He has 24 years of experience in compliance, has obtained Series 7, 63, 65, 24, 4, 8, 14, 3 and 79 securities licenses, a MN insurance license, and is an attorney. 

Mr. Fleming is currently adjunct professor at the University of St. Thomas School of Law, and was formerly at William Mitchell College of Law (2007-2009) and at the NASD Institute at Wharton from (2005-2007). He’s served as a member of numerous industry committees, including the Securities Industry/Regulatory Council on Continuing Education, of which he is 2015 Council Chair.

 

Fall 2017 Courses

Fall 2017 Courses
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J-Term 2018 Courses

J-Term 2018 Courses
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Spring 2018 Courses

Spring 2018 Courses
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