Joseph W. Flaherty
Professional summary
Joseph William Flaherty III, who also goes by Joseph W Flaherty, Joseph William Flaherty, Joseph Flaherty, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph William Flaherty III's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2009 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917September 19, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917November 5, 2008 - September 15, 2009
FIDELITY BROKERAGE SERVICES LLC
November 21, 2006 - September 12, 2008
NATIONAL FINANCIAL SERVICES LLC
July 22, 1999 - November 21, 2006
FIDELITY BROKERAGE SERVICES LLC
February 7, 1997 - July 22, 1999
NATIONAL FINANCIAL SERVICES LLC
August 31, 1993 - December 31, 1996
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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