Lynn M. 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.
Lynn Marie Flaherty, who also goes by Lynn Marie Lawson, Lynn Lawson, was a registered financial professional .
Lynn is a previously registered financial professional and started their career in finance in 2000. Lynn had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2009 - July 2, 2018
FEF DISTRIBUTORS, LLC
May 8, 2007 - August 13, 2008
MORGAN STANLEY INVESTMENT ADVISORS INC.
May 8, 2007 - August 13, 2008
MORGAN STANLEY DISTRIBUTION, INC.
September 25, 2001 - October 12, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
February 8, 2001 - October 12, 2006
FAM DISTRIBUTORS, INC.
December 4, 2000 - January 3, 2001
CITIGROUP GLOBAL MARKETS INC.
July 18, 2000 - December 5, 2000
AMERIPRISE ADVISOR SERVICES, INC.
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
Current Firm
FEF DISTRIBUTORS, LLC
CRD#: 46585 / SEC#: , 8-51483
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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