Robert P. 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.
Robert Patrick Flaherty, who also goes by Flash Flaherty, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 13 firms and has passed the Series 63, Series 57TO, 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
August 2, 2017 - October 22, 2025
TRUIST SECURITIES, INC.
April 21, 2014 - July 17, 2017
B. RILEY SECURITIES, INC.
July 2, 2012 - April 30, 2014
VIRTU AMERICAS LLC
December 8, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
January 25, 2010 - June 1, 2011
TICONDEROGA SECURITIES LLC
May 21, 2007 - January 28, 2010
PALI CAPITAL, INC.
February 28, 2007 - May 21, 2007
SWISS AMERICAN SECURITIES INC.
June 3, 2005 - April 12, 2006
COWEN AND COMPANY
June 26, 1998 - May 18, 2005
DEUTSCHE BANK SECURITIES INC.
February 17, 1998 - May 8, 1998
KEYBANC CAPITAL MARKETS INC.
October 8, 1997 - February 2, 1998
NATWEST SECURITIES CORPORATION
October 27, 1995 - September 10, 1997
RODMAN & RENSHAW INC.
November 6, 1990 - December 31, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 57TO
Date: 12/1/2018
Securities Trader ExamCurrent Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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.
