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LF

Leo T. Flaherty

J.A.K. SECURITIES
PHILADELPHIA, PA 19104
Some features on this profile are disabled
CRD#: 2322331
LF

Professional summary

Leo Theodore Flaherty, who also goes by Leo T Flaherty, is a registered financial professional currently at J.A.K. SECURITIES, INC. located in Philadelphia, Pennsylvania.

Leo is registered as a RR (Registered Representative) and started their career in finance in 2006. Leo has worked at 5 firms and has passed the Series 57TO, SIE, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leo T Flaherty

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leo Theodore Flaherty'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

July 1, 2011 - Present

J.A.K. SECURITIES, INC.

Office #1: 2929 Walnut Street, Philadelphia, PA 19104
BD
CRD#: 47866
PHILADELPHIA, PA
Past

January 2, 2009 - January 3, 2011

PINNACLE BROKERAGE SERVICES, LLC

BD
CRD#: 149200
LAFAYETTE HILL, PA
Past

March 17, 2008 - May 11, 2009

SOLARIS ALTERNATIVE CAPITAL PARTNERS, L.P.

BD
CRD#: 142203
LAFAYETTE HILL, PA
Past

May 23, 2006 - January 6, 2009

DSX INC

BD
CRD#: 31451
LAFAYETTE HILL, PA
Past

May 11, 2006 - February 12, 2007

WALLACE SECURITIES CORP.

BD
CRD#: 31467
PHILADELPHIA, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/20/2013
Registered Options Principal Examination
SRO Registrations
RR
Nasdaq PHLX LLC

Current Firm

JS
J.A.K. SECURITIES, INC.
J.A.K. SECURITIES, INC.

CRD#: 47866 / SEC#: , 8-51943

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
2929 Walnut Street, Philadelphia, PA 19104
Mailing Address
136 Meadowview Lane, Avalom, NJ 08202
Phone number
(215) 246-3380
Established
Pennsylvania since 05/18/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KELLY, JAMES APRESIDENT, DIRECTOR
KELLY, JAMES ACHIEF COMPLIANCE OFFICER
FIONE, ALEXIS LSECRETARY, TREASURER

Disclosures

Regulatory Event5

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.

Company Information

J.A.K. SECURITIES, INC.

CRD#: 47866Philadelphia, PA 19104

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