Shon Flaharty has been CEO, Elected of Flaharty Asset Management since June 2013, is a control person of the firm and directly owns under 5% of it.
Flaharty Asset Management, LLC is a Clearwater, FL firm with $902M under management, 1,130 clients and 9 advisers across 2 offices, as of its March 2026 filing.
Shon Flaharty’s longest registration was 18 years at LPL Financial LLC (2007–2026). Before joining Flaharty Asset Management in 2013, Shon Flaharty was registered through LPL Financial LLC and Banc of America Investment Services, Inc.
- Modern Wealth Management, LLCAlso current– present · under a yearClearwater, FL · Adviser representative · Firm CRD 324624
- – present · 13 yearsClearwater, FL · Adviser representative · Firm CRD 168495
- LPL Financial LLC– · 18 yearsClearwater, FL · Adviser representative · Firm CRD 6413
- Banc of America Investment Services, Inc.– · 3 yearsClearwater, FL · Adviser representative · Firm CRD 16361
- Merrill Lynch Pierce Fenner & Smith Inc.– · 8 yearsSt Petersburg, FL · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Shon Flaharty is registered as an investment adviser representative in 2 states. The first approvals date from September 2013; the most recent is Texas, in November 2025.
- FloridaSince 9 September 2013
- TexasSince 26 November 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 31 October 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 1 December 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 November 1995 |
| Series 7 | General Securities Representative Examination | 15 November 1995 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Shon Edward Flaharty
- CRD
- 2666498
- Firm
- Flaharty Asset Management · CRD 168495
- Role
- CEO, Elected
- Office
- 311 PARK PLACE BLVD., SUITE 150, Clearwater, FL 33759
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 1995
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Shon Flaharty work?
Shon Flaharty has been CEO, Elected of Flaharty Asset Management, LLC since June 2013, and is a control person of the firm.
Is Shon Flaharty a financial advisor?
Yes. Shon Flaharty has a current investment-adviser registration in Florida and Texas, through Flaharty Asset Management since September 2013.
How many years of experience does Shon Flaharty have?
Shon Flaharty has 30 years in the financial industry, since November 1995, across 5 adviser firms.
What exams has Shon Flaharty passed?
Shon Flaharty has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 24. The earliest, the Series 7, was passed in November 1995. FINRA credited Shon Flaharty with the SIE, which began in October 2018.
Where did Shon Flaharty work before Flaharty Asset Management?
Before Flaharty Asset Management, Shon Flaharty was registered through Banc of America Investment Services, Inc., April 2004 to September 2007; Merrill Lynch Pierce Fenner & Smith Inc., November 1995 to April 2004.
Where is Shon Flaharty based?
Shon Flaharty’s registered office is in Clearwater, FL.
Is Shon Flaharty registered with FINRA?
Yes. Shon Flaharty has a current broker registration, under CRD 2666498.
Source: FINRA BrokerCheck
How can I verify Shon Flaharty’s record?
Search CRD 2666498 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Shon Flaharty’s full registration record.