Heather J. 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.
Heather Jean Flaherty, who also goes by Heather Jean Mahoney, Heather Jean Price, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2008. Heather had worked at 4 firms and has passed the Series 63, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2011 - February 6, 2012
ALLIED BEACON PARTNERS, INC.
February 22, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
September 10, 2009 - February 1, 2010
OAK STREET SECURITIES, INC.
January 23, 2008 - September 30, 2009
MICG INVESTMENT MANAGEMENT, 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
Current Firm
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
