Sean Patrick 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:

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

Current Employers

Employment History

• 01/2014 → 05/2023
  Cantella & Co., Inc.
  Boston, MA
• 12/2022 → 09/2024
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 12/2022 → 09/2024
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 09/2024 → Present
  Lpl Financial
  Canton, MA

Previous Registrations

• 2022-12-13 → 2024-09-23
  Cambridge Investment Research Advisors, Inc.
  Canton, MA
• 2014-01-06 → 2023-05-05
  Cantella & Co., Inc.
  Malden, MA
  Canton, MA
  Malden, MA
  Boston, MA
  Canton, MA
  Malden, MA
  Malden, MA
• 2005-12-14 → 2013-12-31
  Lpl Financial Llc
  Boston, MA
  Canton, MA
  Canton, OH
  Dedham, MA

Other Businesses

1- 08/2024 / Flaherty Wealth Management / DBA FOR LPL BUSINESS(ENITITY FOR LPL BUSINESS) / INV RLTD / 160 HRS MNTH / 8 HRS DURING TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-12-12
• S63 Uniform Securities Agent State Law Examination
  1994-08-03