Leo T. 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.
Leo Theodore Flaherty, who also goes by Leo T Flaherty, was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 2006. Leo had worked at 5 firms and has passed the Series 57TO, SIE, Series 24 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
July 1, 2011 - April 30, 2026
J.A.K. SECURITIES, INC.
January 2, 2009 - January 3, 2011
PINNACLE BROKERAGE SERVICES, LLC
March 17, 2008 - May 11, 2009
SOLARIS ALTERNATIVE CAPITAL PARTNERS, L.P.
May 23, 2006 - January 6, 2009
DSX INC
May 11, 2006 - February 12, 2007
WALLACE SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
J.A.K. SECURITIES, INC.
CRD#: 47866 / SEC#: , 8-51943
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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