Coleman J. Flaherty
Professional summary
Coleman James Flaherty III was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Coleman is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Coleman had worked at 21 firms, which includes SALOMON GREY FINANCIAL CORPORATION, CHICAGO INVESTMENT GROUP LLC, FEDERAL STREET INVESTMENTS INC., THE THORNWATER COMPANY L.P., D.L. CROMWELL INVESTMENTS INC., THE THERMOPYLAE GROUP INC., M.S. FARRELL & COMPANY INC., HD BROUS & CO. INC., THE BOSTON GROUP, INVESTORS ASSOCIATES INC., FIRST ASSET MANAGEMENT INC., C.A. ATLANTIC SECURITIES INC., D. BLECH & COMPANY INCORPORATED, BARRON CHASE SECURITIES INC., DICKINSON & CO., H.J. MEYERS & CO. INC., JOSEPHTHAL & CO. INC., JJC SECURITIES CO. INC., GRUNTAL & CO. L.L.C., LEHMAN BROTHERS INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2005 - January 18, 2006
SALOMON GREY FINANCIAL CORPORATION
March 31, 2003 - September 29, 2005
CHICAGO INVESTMENT GROUP, LLC
July 19, 2001 - March 24, 2003
FEDERAL STREET INVESTMENTS, INC.
May 24, 2000 - August 7, 2001
THE THORNWATER COMPANY, L.P.
March 17, 2000 - June 13, 2000
SALOMON GREY FINANCIAL CORPORATION
October 5, 1998 - May 7, 1999
D.L. CROMWELL INVESTMENTS, INC.
August 6, 1998 - September 1, 1998
THE THERMOPYLAE GROUP, INC.
July 6, 1998 - August 18, 1998
M.S. FARRELL & COMPANY, INC.
February 6, 1998 - March 2, 1998
HD BROUS & CO., INC.
May 8, 1997 - July 29, 1997
THE BOSTON GROUP
May 18, 1995 - October 24, 1996
INVESTORS ASSOCIATES, INC.
February 9, 1995 - May 9, 1995
FIRST ASSET MANAGEMENT, INC.
October 25, 1994 - February 3, 1995
C.A. ATLANTIC SECURITIES, INC.
September 13, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
June 27, 1994 - September 7, 1994
BARRON CHASE SECURITIES, INC.
April 9, 1992 - October 15, 1992
DICKINSON & CO.
November 18, 1991 - April 9, 1992
H.J. MEYERS & CO., INC.
September 26, 1991 - November 5, 1991
JOSEPHTHAL & CO., INC.
July 5, 1991 - October 21, 1991
JJC SECURITIES CO., INC.
January 31, 1991 - June 24, 1991
GRUNTAL & CO., L.L.C.
October 18, 1990 - February 12, 1991
LEHMAN BROTHERS INC.
November 28, 1989 - October 5, 1990
MORGAN STANLEY DW INC.
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
SALOMON GREY FINANCIAL CORPORATION
CRD#: 43413 / SEC#: , 8-50268
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 5 |
| Financial | 1 |
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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