Ryan Fleming: REIT Complaint Against Pacific Capital Advisor

Bellevue financial advisor Ryan Fleming (CRD# 4378425) has received investor complaints alleging his investment advice resulted in losses. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Pacific Capital Resource Group, offering securities and advisory services through Royal Alliance Associates. 

Mr. Fleming’s BrokerCheck report discloses several recent investor complaints that reached settlements. The most recent, filed in August 2020, alleged that as a representative of Hornor Townsend & Kent, he recommended unsuitable non-traded real estate investment trusts (REITs). In 2021 the complaint reached a settlement of $85,000.

A second complaint, filed in 2021, alleged that while a representative of Hornor Townsend & Kent, he breached his fiduciary duty, recommended unsuitable investments, and engaged in negligence. In June 2022 the complaint reached a settlement of $50,000.

According to the Financial Industry Regulatory Authority, Ryan Fleming holds 21 years of securities industry experience. Based in Bellevue, Washington, he has been a broker and investment advisor registered with Royal Alliance Associates since 2020. He is a representative of Pacific Capital Resource Group, which offers securities and advisory services through Royal Alliance Associates. His past registrations include Hornor Townsend & Kent (Bellevue, Washington; 2001-2020) and Advisory Resource Group (Bellevue, Washington; 2007-2016). His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; and the General Securities Representative Examination, or Series 7. He is licensed in Arizona, California, Colorado, Florida, Georgia, Hawaii, Idaho, Indiana, Minnesota, Montana, North Carolina, Oregon, Pennsylvania, South Carolina, Texas, Utah, Washington, and West Virginia. (Information current as of July 19, 2022.)

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