This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

FLAHARTY ASSET MANAGEMENT, LLC

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Oct 3, 2006earliest registration or exam on IAPD

Years in industry

19derivedfrom the industry start date

Years at current firm

11derivedfrom the current registration's begin date

Prior firms

2

Current registrations

2

Registered states

2

Designations

Certified Financial Planner

Exams

S66

First exam

Oct 3, 2006

First registration

Oct 5, 2006

Dual registered

yes, broker-dealer

IAPD individual key

5153830

• Occurred

  Jun 3, 2026
  Advisor changed firm

  Andrew Joseph Oswald left Lpl Financial Llc for Modern Wealth Management, Llc (registered 2026-06-15)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:6971facc-e8a3-c011-ef89-71ec51523076

First observed

Oct 5, 2006

Last observed

Sep 15, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.