Michael Aloysius Oflaherty

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2009 → 04/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Cranston, RI
• 11/2009 → 04/2017
  Bank Of America,Na
  Cranston, RI
• 04/2017 → 05/2023
  Janney Montgomery Scott Llc
  South Kingstown, RI
• 05/2023 → Present
  Lpl Financial Llc
  South Kingstown, RI

Previous Registrations

• 2017-04-07 → 2023-05-09
  Janney Montgomery Scott Llc
  South Kingstown, RI
• 2009-10-23 → 2017-04-13
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Cranston, RI
  Cranston, RI
  Cranston, RI
  Cranston, RI
  Providence, RI
  Attleboro, MA
  Providence, RI
  Providence, RI
• 2004-10-20 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Cranston, RI
  Cranston, RI
  Cranston, RI
  Cranston, RI
• 2003-03-03 → 2004-10-20
  Quick & Reilly, Inc.
  Cranston, RI

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-07-02
• S63 Uniform Securities Agent State Law Examination
  1992-01-20

Other Names

• Michael A Oflaherty
• Michael A O'FLaherty