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TF

Timothy J. Flaherty

PTMA INVESTMENT ADVISORS
Naperville, IL 60563
Some features on this profile are disabled
CRD#: 6229406
TF

Professional summary

Timothy James Flaherty, who also goes by Tim Flaherty, is a registered financial advisor currently at PTMA INVESTMENT ADVISORS located in Naperville, Illinois and PMA SECURITIES, LLC located in Naperville, Illinois.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Timothy has worked at 3 firms and has passed the Series 66, SIE, Series 50, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tim 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) - RIA

Click below to view Timothy James Flaherty's CRS (Customer Relationship Summary).
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

May 29, 2019 - Present

PTMA INVESTMENT ADVISORS

Office #1: 2135 Citygate Lane 7th Floor, Naperville, IL, 60563
RIA
CRD#: 301973
Naperville, IL
Current

June 27, 2014 - Present

PMA SECURITIES, LLC

Office #1: 2135 Citygate Lane 7th Floor, Naperville, IL 60563
BD
CRD#: 30397
NAPERVILLE, IL
Past

January 14, 2016 - May 29, 2019

PRUDENT MAN ADVISORS, INC.

RIA
CRD#: 110022
NAPERVILLE, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PI
PTMA INVESTMENT ADVISORS
PMA ASSET MANAGEMENT, LLC | PTMA INVESTMENT ADVISORS | PRUDENT MAN ADVISORS, LLC

CRD#: 301973 / SEC#: 801-115313

RIA
Registered Investment Advisory firm - (4/2/2019 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(9/11/2014)
IAR
Illinois
(5/29/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/11/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 2/28/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 7
Date: 6/27/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/15/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PI
PTMA INVESTMENT ADVISORS
PMA ASSET MANAGEMENT, LLC | PTMA INVESTMENT ADVISORS | PRUDENT MAN ADVISORS, LLC

CRD#: 301973 / SEC#: 801-115313

RIA
Registered Investment Advisory firm - (4/2/2019 Approved)
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Contact information

Main Address
2135 Citygate Lane 7th Floor, Naperville, IL 60563
Mailing Address
Phone number
(630) 657-6400
Established
Firm type
Fiscal year end
# of Employees
79

SEC notice filing (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PMA ASSET MANAGEMENT PART 2A 2024 (3/28/2025)

Regulatory assets under management

Total Number of Accounts504
AUM (Assets Under Management)$ 27,791,353,702

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

PTMA INVESTMENT ADVISORS

CRD#: 301973Naperville, IL 60563

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