Erinn D. Flanagan

FLANAGAN FINANCIAL MANAGEMENT

Norwich, NY 13815

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CRD#: 2279316

Professional summary

Erinn Duffy Flanagan, who also goes by Erinn E Duffy, Erinn Elizabeth Duffy, is a registered financial advisor currently at FLANAGAN FINANCIAL MANAGEMENT located in Norwich, New York and LEIGH BALDWIN & CO., LLC located in Norwich, New York.

Erinn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Erinn has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erinn E Duffy | Erinn Elizabeth Duffy

Other business activities

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.

2005- 70% OWNER OF BUILDING IN NORWICH, NY: BOOKEEPING, RENTAL INCOME; MANLEY HOUSE ASSOC LLC; non investment related; minimal time devoted per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erinn Duffy Flanagan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 24, 2021 - Present

FLANAGAN FINANCIAL MANAGEMENT

Office #1: 2 Hayes Street, Norwich, NY 13815

RIA

CRD#: 167486

Norwich, NY

Current

December 18, 2000 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 2 Hayes Street, Norwich, NY 13815

RIA

CRD#: 38751

Norwich, NY

Past

April 20, 1995 - December 13, 1999

FRED ALGER & COMPANY, LLC

CRD#: 5300

NEW YORK, NY

Past

April 7, 1994 - April 12, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 7, 1994 - April 25, 1995

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(2/4/2019)

Florida
(12/5/2018)

Georgia
(9/15/2016)

New York
(12/18/2000)

IAR

New York
(3/24/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/24/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/25/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FLANAGAN FINANCIAL MANAGEMENT

FLANAGAN FINANCIAL MANAGEMENT | FLANAGAN, ERINN DUFFY

CRD#: 167486 / SEC#:

New York

Registered Investment Advisory firm - (5/21/2013 Approved)

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Contact information

Main Address

2 Hayes Street, Norwich, NY 13815

Mailing Address

Phone number

(607) 334-4100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 15,671,859

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.

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Erinn D. Flanagan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erinn Duffy Flanagan's CRS (Customer Relationship Summary).

Certified licenses

Experience

FLANAGAN FINANCIAL MANAGEMENT

LEIGH BALDWIN & CO., LLC

FRED ALGER & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/24/2013

Series 63

Date: 9/15/1994

SIE

Date: 10/1/2018

Series 7

Date: 2/25/1994

FINRA

Current Firm

FLANAGAN FINANCIAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FLANAGAN FINANCIAL MANAGEMENT

TRUST BUT VERIFY

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