Sean Patrick Flaherty
Professional Summary
Sean Patrick Flaherty is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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PRINCIPAL SECURITIES, INC.
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Disclosures on record.
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Years of Experience
4 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
AEL FINANCIAL SERVICES, LLC | LOCKTON CAPITAL, LLC | LOCKTON CAPITAL MARKETS | LOCKTON CAPITAL ADVISORS, LLC | ANICO FINANCIAL SOLUTIONS, LLC
Contact Information
Main Address
1150 Locust Street, Des Moines, IA 50309Mailing Address
1150 Locust Street, Des Moines, IA 50309Phone Number
(515) 443-3527Established
Iowa since 02/12/2026Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (39 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
(8/16/2024)
(8/16/2024)
(8/16/2024)
(8/16/2024)
(8/26/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sean Patrick Flaherty's CRS (Customer Relationship Summary).
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PRINCIPAL SECURITIES, INC.
