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Mary Kathleen Flaherty

Prospera Financial Services, Inc.

Sunrise Beach, MO

Dallas, TX

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Current Employers
Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2026-08-13
MO RA APPROVED 2026-08-13
  • CO RA
    APPROVED
    Since 2026-08-13
  • MO RA
    APPROVED
    Since 2026-08-13

Branch Locations

Sunrise Beach, MO • United States

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • 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
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Denver CO 11/2011 06/2021
Focused Alpha, Llc Denver CO 04/2022 03/2025
Unemployed Denver CO 07/2021 04/2022
Mkf Private Wealth Management Denver CO 04/2025 06/2025
World Investment Advisors, Llc Santa Barbara CA 06/2025 08/2026
Prospera Financial Services Dallas TX 08/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-21
S63 Uniform Securities Agent State Law Examination 2012-05-18
  • S66 Uniform Combined State Law Examination
    2014-03-21
  • S63 Uniform Securities Agent State Law Examination
    2012-05-18
Designations
Other Names
  • Mary Kate Flaherty

View on SEC IAPD

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