Fallon L Flaharty
Investment Adviser Representative at Flaharty Asset Management, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Fallon L. Flaharty is an investment adviser representative with Flaharty Asset Management, LLC in Clearwater, FL, where they have been registered since 2025, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Florida.
Office
Advisors at this office: 9
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Florida
- Broker:
1 state or territory
Florida
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Modern Wealth Management, LLCMay 2026 – no end date reportedClearwater, FL
- SageView Advisory GroupJun 2023 – Aug 2024Deer Park, IL
- Florida State UniversityAug 2019 – Jun 2023Tallahassee, FL
- Morton Plan Mease Health Care FoundationJun 2022 – Jul 2022Clearwater, FL
- Personal NannyAug 2020 – May 2023Tallahassee, FL
- For the Love of BoutiqueJan 2014 – Jan 2017Belleair, FL
- Academy of the Holy NamesJun 2015 – May 2019Tampa, FL
- LPL FinancialAug 2024 – May 2026Clearwater, FL
- Flaharty Asset Management LLCDec 2025 – no end date reportedClearwater, FL
- Mutual Securities, Inc.Jun 2026 – no end date reportedCamarillo, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Flaharty Asset Management, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $250,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10
- Offices listed on AdvisorFinder:
- 2
- Main office:
- Clearwater, FL
- SEC file number:
- 801-78437
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 19, 2026
View full firm profileOther advisors at Flaharty Asset Management, LLC
9 other advisors in the directory
Similar advisors in Clearwater, FL
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Fallon L Flaharty has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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