James Flaherty (CRD# 1445547) is an Investment Advisor Representative working at Osaic Wealth, Inc. in Johnston, IA and has over 38 years of experience in the finance industry.
CRD# 6104973
Black Mammoth LLC
CRD# 6935071
Thrivent Investment Management Inc.
CRD# 4343046
Osaic Wealth, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Royal Alliance Associates, Inc. | Fort Dodge, IA | Nov 2018 - Current | 5 |
| Sii | Fort Dodge, ID | Feb 2010 - Nov 2018 | 8 |
| Ameritas Investment Corp | Fort Dodge, IA | Aug 1996 - Feb 2017 | 20 |
| Central Financial Group | Fort Dodge, IA | Aug 1979 - Feb 2017 | 37 |
| Flaherty Financial | Fort Dodge, IA | Jan 2002 - Sep 2016 | 14 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Feb 1986 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- IA
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Total Assets Under Management94,558MILLIONS
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Total Number of Accounts437,201ACCOUNTS
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Average Account Value$216,280
- A percentage of assets under your management
- Hourly charges
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- Educational seminars/workshops
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