Fallon L. Flaharty

FLAHARTY ASSET MANAGEMENT

CLEARWATER, FL 33759

Some features on this profile are disabled

CRD#: 6640758

Professional summary

Fallon L Flaharty, who also goes by Fallon Lyra Flaharty, Fallon Flaharty, is a registered financial advisor currently at FLAHARTY ASSET MANAGEMENT, LLC located in Clearwater, Florida and LPL FINANCIAL LLC located in Clearwater, Florida.

Fallon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Fallon has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fallon Lyra Flaharty | Fallon Flaharty

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 Fallon L Flaharty'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

December 8, 2025 - Present

FLAHARTY ASSET MANAGEMENT, LLC

Office #1: 311 Park Place Blvd. Suite 150, Clearwater, FL 33759

RIA

CRD#: 168495

CLEARWATER, FL

Current

January 25, 2025 - Present

LPL FINANCIAL LLC

Office #1: 311 Park Place Blvd, Ste 150, Clearwater, FL 33759

RIA

CRD#: 6413

CLEARWATER, FL

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".

FLAHARTY ASSET MANAGEMENT, LLC

CRD#: 168495 / SEC#: 801-78437

RIA

Registered Investment Advisory firm - (8/27/2013 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.

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

Florida
(1/27/2025)

IAR

Florida
(12/8/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/26/2025

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/24/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/26/2024

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

FLAHARTY ASSET MANAGEMENT, LLC

CRD#: 168495 / SEC#: 801-78437

RIA

Registered Investment Advisory firm - (8/27/2013 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

311 Park Place Blvd. Suite 150, Clearwater, FL 33759

Mailing Address

Phone number

(727) 252-1050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (3/28/2025)

DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,121
AUM (Assets Under Management)	$ 809,577,048

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.

Similar Advisors

John Valencia

LPL FINANCIAL LLC

IAR

LARGO, FL

Spiros Vassilakos

CSENGE ADVISORY GROUP, LLC

IAR

Tarpon Springs, FL

Lee Gorgas

CHARLES SCHWAB & CO., INC.

IAR

Tampa, FL

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Fallon L. Flaharty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fallon L Flaharty's CRS (Customer Relationship Summary).

Certified licenses

Experience

FLAHARTY ASSET MANAGEMENT, LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

FLAHARTY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/26/2025

Series 7TO

Date: 1/24/2025

SIE

Date: 3/26/2024

FINRA

Current Firm

FLAHARTY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FLAHARTY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors