Samuel J Flaherty

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2012-06-05

PA RA
APPROVED

Since 2012-06-05

Branch Locations

644 E Broad St., Souderton, PA 18964 • United States

Royersford, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Flaherty Financial Services, Llc	New York	NY	09/2009	Present
Lpl Financial Llc	Souderton	PA	10/2011	Present

09/2009 → Present

Flaherty Financial Services, Llc

New York, NY
10/2011 → Present

Lpl Financial Llc

Souderton, PA

Previous Registrations

2009-01-15 → 2009-09-11

Lpl Financial Llc

Souderton, PA

Other Businesses

(1) 01/12/2011: Flaherty Financial Services, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). (2) 11/07/2016: No Business Name - Investment Related - 644 E Broad St, Souderton Pa - Real Estate Rental - Start 08/01/2016 - 1 Hr/Mo; 0 Hour(s) During Securities Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-06-21

S63 Uniform Securities Agent State Law Examination

2001-06-21

Designations

Certified Financial Planner
Chartered Financial Consultant

Other Names

Sam J Flaherty
Sam Flaherty

View on SEC IAPD