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SF

Sean P. Flaherty

ANICO FINANCIAL SOLUTIONS
Des Moines, IA 50309
Some features on this profile are disabled
CRD#: 7362647
SF
Sean Patrick FlahertyANICO FINANCIAL SOLUTIONS

Professional summary

Sean Patrick Flaherty is a registered financial professional currently at ANICO FINANCIAL SOLUTIONS, LLC located in 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.

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

ANICO FINANCIAL SOLUTIONS, LLC

Office #1: 1150 Locust Street, Des Moines, IA 50309
BD
CRD#: 300285
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

What does exam status mean?
State Security Law Exam
RR
PR
Series 66
Status Unavailable
Passed: 12/2/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Status Unavailable
Passed: 9/23/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 6/17/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

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

Main Address
1150 Locust Street, Des Moines, IA 50309
Mailing Address
1150 Locust Street, Des Moines, IA 50309
Phone number
(515) 443-3527
Established
Iowa since 02/12/2026
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
NC SECURITIES HOLDCO, LLCPARENT CO
ALBERTI, GREGORY MICHAELPRINCIPAL/VICE PRESIDENT5023476
BAILEY, ELIZABETH EILEENCOO/CCO4154255
RUSTAD, STEPHANIE THERESECFO/FINOP2327465

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

ANICO FINANCIAL SOLUTIONS, LLC

CRD#: 300285Des Moines, IA 50309

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