Douglas S. 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.
Douglas Scott Flaherty was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1992. Douglas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2024 - December 22, 2025
BOLTON GLOBAL CAPITAL
April 21, 2021 - January 12, 2024
SNOWDEN ACCOUNT SERVICES LLC
February 3, 2012 - April 22, 2021
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2012 - April 22, 2021
WELLS FARGO CLEARING SERVICES, LLC
April 9, 2008 - January 27, 2012
J.P. MORGAN SECURITIES LLC
April 9, 2008 - January 27, 2012
J.P. MORGAN CLEARING CORP.
April 8, 2008 - January 27, 2012
J.P. MORGAN SECURITIES LLC
May 29, 2007 - March 25, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - March 25, 2008
CITIGROUP GLOBAL MARKETS INC.
September 19, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 9, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
June 1, 2005 - January 3, 2006
NEWOAK CAPITAL MARKETS LLC
December 11, 2002 - September 10, 2004
QUICK & REILLY, INC.
July 19, 2002 - September 17, 2002
ROBERTSON STEPHENS, INC.
September 28, 1992 - September 10, 2004
QUICK & REILLY, 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
Series 8
Date: 7/14/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BOLTON GLOBAL CAPITAL
CRD#: 15650 / SEC#: , 8-33222
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRENIER, RAYMOND GERARD | CHAIRMAN OF THE BOARD | 1404159 |
| BEALS, MATTHEW GEORGE | PRESIDENT AND CHIEF OPERATING OFFICER | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF ADMINISTRATIVE AND LEGAL OFFICER | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| TARPEY, STEVEN R | CHIEF FINANCIAL OFFICER | 6640625 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
| Bond | 4 |
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.
