Thomas F. Flaherty

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CRD#: 1636290

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.

Thomas Francis Flaherty JR, who also goes by Thomas Francis Flaherty, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Francis Flaherty

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 24, 2009 - October 14, 2016

UNITED BROKERAGE SERVICES, INC

RIA

CRD#: 39062

FALLS CHURCH, VA

Past

July 24, 2009 - October 14, 2016

UNITED BROKERAGE SERVICES, INC

CRD#: 39062

FALLS CHURCH, VA

Past

June 12, 2008 - August 3, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

VIENNA, VA

Past

May 2, 2008 - August 3, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

VIENNA, VA

Past

October 1, 1999 - May 6, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GREAT FALLS, VA

Past

January 27, 1999 - May 6, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GREAT FALLS, VA

Past

March 1, 1996 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

July 16, 1993 - March 6, 1996

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

October 13, 1992 - July 16, 1993

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

October 3, 1988 - February 21, 1991

DOMINICK & DICKERMAN LLC

CRD#: 7344

OLD GREENWICH, CT

Past

July 19, 1988 - October 4, 1988

DOMIK CORP.

CRD#: 223

Past

August 20, 1987 - July 21, 1988

HALPERT AND COMPANY, INC.

CRD#: 7094

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNITED BROKERAGE SERVICES, INC

UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC

CRD#: 39062 / SEC#: 801-80804, 8-48685

RIA

Registered Investment Advisory firm - SEC (1/9/2015 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/26/2015 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (1/30/2015 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (1/22/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/21/2015 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Current Firm

UNITED BROKERAGE SERVICES, INC

UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC

CRD#: 39062 / SEC#: 801-80804, 8-48685

RIA

Registered Investment Advisory firm - SEC (1/9/2015 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/26/2015 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (1/30/2015 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (1/22/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/21/2015 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (1/20/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

514 Market Street, Parkersburg, WV 26101

Mailing Address

P. O. Box 1508, Parkersburg, WV 26102-1508

Phone number

(888) 424-6158

Established

West Virginia since 04/24/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

101

SEC notice filing (17 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025 ADV BROCHURE ANNUAL AMENDMENT (3/31/2025)

2025 CLIENT DIRECTED WRAP BROCHURE ADV AMENDMENT (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UNITED ASSET MANAGEMENT CORP.	OWNER
ADAMS, RICHARD MATTHEW JR	CHAIRMAN OF THE BOARD/DIRECTOR	2656091
BOARD, ANGIE MARIE	FINOP	6464533
EARL, MICHEAL LEN	CHIEF COMPLIANCE OFFICER	4266715
GURTIS, JULIE RITCHIE	DIRECTOR
HUMPHREY, MATTHEW LEE	CHIEF EXECUTIVE OFFICER/DIRECTOR	5943475
MOCK, DONALD FREDERICK	DIRECTOR	5059205
MUDLAFF, THOMAS JAMES	CHIEF OPERATIONS OFFICER	2359466
REYNOLDS, FRANK KEVIN	DIRECTOR	5731814
SHAVER, AMI LEE	DIRECTOR	2771684

Regulatory assets under management

Total Number of Accounts	1,889
AUM (Assets Under Management)	$ 389,130,559

Disclosures

Bond

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Thomas F. Flaherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED BROKERAGE SERVICES, INC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

LEGG MASON WOOD WALKER, INCORPORATED

FERRIS, BAKER WATTS, LLC

DOMINICK & DICKERMAN LLC

DOMIK CORP.

HALPERT AND COMPANY, INC.

Primary Firm SEC Registration

UNITED BROKERAGE SERVICES, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/1998

Series 63

Date: 6/5/1987

SIE

Date: 10/14/2016

Series 7

Date: 8/15/1987

Current Firm

UNITED BROKERAGE SERVICES, INC

Contact information

SEC notice filing (17 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNITED BROKERAGE SERVICES, INC

TRUST BUT VERIFY

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