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Current Employers
Modern Wealth Management, Llc

1712 Main Street Suite 400, Kansas City, MO 64108 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-06-05
  • FL RA
    APPROVED
    Since 2026-06-05

Branch Locations

311 Park Place Boulevard Suite 150, Clearwater, FL 33759 • United States

1712 Main Street Suite 400, Kansas City, MO 64108 • United States

Flaharty Asset Management, Llc

311 Park Place Blvd. Suite 150, Clearwater, FL 33759 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2025-12-01
TX RA APPROVED_RES 2025-12-01
FL RA APPROVED 2017-11-28
  • NH RA
    APPROVED
    Since 2025-12-01
  • TX RA
    APPROVED_RES
    Since 2025-12-01
  • FL RA
    APPROVED
    Since 2017-11-28

Branch Locations

311 Park Place Blvd. Suite 150, Clearwater, FL 33759 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Pierce Fenner & Smith, Inc. Tampa FL 07/2003 11/2017
Bank Of America, N.A. Tampa FL 10/2011 11/2017
Modern Wealth Management, Llc Clearwater AZ 05/2026 Present
Lpl Financial Llc Clearwater FL 12/2017 05/2026
Flaharty Asset Management, Llc Clearwater FL 11/2017 Present
Mutual Securities, Inc. Camarillo CA 06/2026 Present
Previous Registrations
Other Businesses

1. Modern Wealth Management, LLC., Start Date: 06/01/2026, 311 Park Place Blvd., Ste. 150, Clearwater, FL 33759, LLC RIA, Investment, Financial Advisor, Marketing and Advising Clients on their Financial goals, Investment Related, 160 Hours per month, 8 Hours per day during trading hours. 2. Toscana Circle, LLC., Start Date: 06/01/2017, 3116 Toscana Circle, LLC, Rental Property, Manager, Manage a single rental property, Not Investment Related, 4 Hours per month, 0 Hours per day during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-08-11
S63 Uniform Securities Agent State Law Examination 1997-10-04
  • S65 Uniform Investment Adviser Law Examination
    2003-08-11
  • S63 Uniform Securities Agent State Law Examination
    1997-10-04

View on SEC IAPD

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