Mark Flaherty
Mark Flaherty is a registered investment advisor at Stonex Advisors INC., based in Birmingham, AL, with 42 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Insurance Planning, and 2 more. Their firm serves 9,843 clients with $5.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
StoneX Advisors' investment management fees are negotiated between you and your financial advisor, with a maximum of 2% of your portfolio's value annually (1.5% for annuity allocations). There's a minimum annual fee of $200, or $300 for Unified Managed Accounts. Fees are typically deducted from your account quarterly or monthly in advance, but can be arranged in arrears. If you end the agreement early, you'll receive a refund for any unearned fees.
Location
2 Perimeter Park South, Suite 500 West, Birmingham, AL, 35243
Get directionsHistory
Regulatory History (3)
Customer Dispute
October 2004Customer Dispute
September 2002Criminal
January 1976Other Business ActivitiesSells Insurance
Mark works as an independent contractor for Upstate Special Risk, an insurance agency, offering insurance services to clients, dedicating about 10% of his time. He also has a relationship with Kirkby & Associates, a shell corporation used to pay bills.
Employment History
Current Registrations
Stonex Advisors INC.
Stonex Securities INC.Broker
Previous Registrations
Wrp Investments, INC.Broker
Main Street Management CompanyBroker
Growth Facts,inc.Broker
First Investors CorporationBroker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.