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SF

Sean P. Flaherty

AEL FINANCIAL SERVICES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 7362647
SF

Professional summary

Sean Patrick Flaherty is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in West Des Moines, Iowa.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2022. Sean has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
PRO MARK STRIPING POSITION: Line Painter NATURE: Line Painter INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/10/2023 ADDRESS: 1204 20th Ave N, Fort Dodge IA 50501, United States DESCRIPTION: Paint parking lot lines.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Patrick Flaherty's 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

August 16, 2024 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 5550 Wild Rose Lane Suite 200, West Des Moines, IA 50266
BD
CRD#: 300285
West Des Moines, IA
Past

December 5, 2022 - November 29, 2023

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
DES MOINES, IA
Past

September 23, 2022 - February 23, 2024

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

State Registrations and Notice Filings

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

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
Iowa
(8/16/2024)
RR
Minnesota
(8/16/2024)
RR
Missouri
(8/16/2024)
RR
North Dakota
(8/16/2024)
RR
South Dakota
(8/26/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/2/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/23/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/17/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AF
AEL FINANCIAL SERVICES, LLC
AEL FINANCIAL SERVICES, LLC | LOCKTON CAPITAL, LLC | LOCKTON CAPITAL MARKETS | LOCKTON CAPITAL ADVISORS, LLC

CRD#: 300285 / SEC#: , 8-70298

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2101 Rexford Road Suite 310, Charlotte, NC 28211
Mailing Address
2101 Rexford Road Suite 310, Charlotte, NC 28211
Phone number
(515) 443-3527
Established
North Carolina since 07/13/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (37 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NC SECURITIES HOLDCO, LLCPARENT CO
ALBERTI, GREGORY MICHAELPRINCIPAL/VICE PRESIDENT5023476
BAILEY, ELIZABETH EILEENCOO/CCO4154255
HAYES, SUSAN ANNCFO/FINOP2856326

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

AEL FINANCIAL SERVICES, LLC

CRD#: 300285West Des Moines, IA 50266

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