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Mark Flaherty

Stonex Advisors INC.
43 Years of Experience
Orchard Park, NY
3 DisclosuresBrokerSells Insurance
View SEC Summary
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Mark Flaherty is a registered investment advisor at Stonex Advisors INC., based in Orchard Park, NY, with 43 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 9,843 clients with $5.1B in assets under management.

Stonex Advisors INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
233 advisors
Number of Clients
9,843 clients
Average Client Portfolio
$517K average
Assets Under Management
$5.1B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$200
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Fees are negotiated between the client and financial advisor up to a maximum annualized rate of 2.00% for standard assets and 1.50% for annuity allocations. Subject to a minimum annual fee of $200 or 0.10%, whichever is greater ($300 for Unified Managed Accounts). American Funds F2 platform has a separate tiered schedule of 0.80% and 0.55%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6576 E Quaker St, Orchard Park, NY, 14127

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2004
Award / Judgment
Customer Dispute
September 2002
Settled
Criminal
January 1976
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other 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.
October 2021 - Present · 5 yrs
Stonex Securities INC.Broker
September 2014 - Present · 12 yrs 1 mo
Previous Registrations
Wrp Investments, INC.Broker
May 2004 - September 2014 · 10 yrs 4 mos
Main Street Management CompanyBroker
September 1987 - May 2004 · 16 yrs 8 mos
Growth Facts,inc.Broker
January 1987 - September 1987 · 8 mos
First Investors CorporationBroker
August 1983 - December 1986 · 3 yrs 4 mos
State Registrations5 states
FLKYNYOHPA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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