Mark 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.
Mark Patrick Flaherty was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1990. Mark had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2017 - May 7, 2019
US ASSET MANAGEMENT, LLC
June 16, 2009 - March 27, 2012
CAMERON CAPITAL MANAGEMENT LLC
April 29, 1999 - December 31, 2003
FIRST SECURITY INVESTMENTS, INC.
January 22, 1999 - April 19, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 3, 1998 - December 31, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 21, 1997 - September 18, 1998
CITISTREET EQUITIES LLC
March 29, 1996 - July 22, 1997
THE INVESTMENT CENTER, INC.
June 19, 1991 - May 3, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 1990 - July 8, 1991
THOMAS M. NIXON & ASSOCIATES, INC.
Primary Firm SEC Registration
US ASSET MANAGEMENT, LLC
CRD#: 124234 / SEC#: 801-61680
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
US ASSET MANAGEMENT, LLC
CRD#: 124234 / SEC#: 801-61680
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 42 |
| AUM (Assets Under Management) | $ 321,229,308 |
Red Flags
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