Patricia A. Flaherty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patricia Anne Flaherty was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1984. Patricia had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2021 - July 24, 2023
WEALTH EFFECTS
February 7, 2008 - August 10, 2021
COBURN & MEREDITH, INC.
May 15, 2006 - August 10, 2021
COBURN & MEREDITH, INC.
July 31, 1993 - May 22, 2006
CITIGROUP GLOBAL MARKETS INC.
January 25, 1984 - July 31, 1993
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
WEALTH EFFECTS
CRD#: 315244 / SEC#: 801-121699
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEALTH EFFECTS
CRD#: 315244 / SEC#: 801-121699
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 969 |
| AUM (Assets Under Management) | $ 405,838,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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