Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Flaherty is a financial advisor with over 29 years of experience in the industry. Joseph currently works at Fidelity Brokerage Services LLC. Joseph has a strong track record of success in providing investment advice and guidance to clients. Joseph has held multiple leadership positions in the financial services industry, including roles at both Fidelity Brokerage Services LLC and National Financial Services LLC. Joseph is a registered representative in Rhode Island, and holds a Series 63, Series 24, Series 4, Series 10, Series 9, Series 99TO, Series SIE and Series 7 license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
RI
09/19/2023 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
RI
11/05/2008 - 09/15/2009
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
RI
11/21/2006 - 09/12/2008
NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)
RI
07/22/1999 - 11/21/2006
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
MA
02/07/1997 - 07/22/1999
NATIONAL FINANCIAL SERVICES CORPORATION (BOSTON MA)
RI
08/31/1993 - 12/31/1996
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BC
Issued 12/19/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2002
Series 24 - General Securities Principal Examination
BC
Issued 07/05/2001
Series 4 - Registered Options Principal Examination
BC
Issued 02/15/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/21/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Joseph Flaherty is the right advisor for you? Invested Better is here to help.
