Coleman James Flaherty Iii
Professional Summary
Coleman James Flaherty III, who also goes by Coleman J Flaherty III, Coleman James Flaherty, Coleman James Flahertz III, was a registered financial advisor. Coleman was a previously registered financial professional and started their career in finance 1989 - 2006. Coleman had worked at 21 firms and has passed the Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Coleman J Flaherty Iii, Coleman James Flaherty, Coleman James Flahertz Iii
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Years of Experience
37 years registered in the securities industry
Current & Past Employments
Past
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Current Firm
RRK SECURITIES | SALOMON GREY FINANCIAL CORPORATION | SALOMON GREY FINANCIAL | RRK SECURITIES, INC.
Contact Information
Established
Texas since 09/22/1997Firm Type
CorporationFiscal Year End
SeptemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SALOMON GREY FINANCIAL GROUP, INC. | 75.1% SHAREHOLDER | — |
| ROBAR LLC | 24.9% DIRECT OWNER | — |
| CAROTHERS, SCOTT WILLIAM | FINANCIAL PRINCIPAL/FINOP | — |
| EDWARDS, GRANT ALAN | EXECUTIVE VICE PRESIDENT, DIRECTOR OF TRADING | 2745376 |
| ROWE, KYLE BROWNING | CHAIRMAN AND VICE-PRESIDENT, OWNER | 2310978 |
| SUTTON, KELLY | SROP | 2033974 |
Disclosures
Regulatory Event
5Civil Event
1Arbitration
5Financial
1Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
MORGAN STANLEY