Kenneth F. 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.
Kenneth Francis Flaherty was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1995. Kenneth had worked at 7 firms and has passed the Series 63, Series 66, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2024 - April 10, 2025
ETC BROKERAGE SERVICES, LLC
June 28, 2022 - September 18, 2024
LPL FINANCIAL LLC
June 4, 2020 - April 7, 2022
FROST BROKERAGE SERVICES, INC.
September 24, 2013 - May 4, 2020
FIDELITY BROKERAGE SERVICES LLC
July 31, 2000 - May 4, 2020
NATIONAL FINANCIAL SERVICES LLC
January 15, 1999 - June 29, 2000
CITIZENS SECURITIES, INC.
September 11, 1995 - November 9, 1998
H.C.WAINWRIGHT & CO., 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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