FLAVIN FINANCIAL SERVICES, INC. of MELBOURNE, FL is an SEC-registered investment adviser (CRD 144473). Regulatory assets under management: $205.0M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Barbara Ann Nooney | VICE PRESIDENT | — |
| Matthew Aaron Treskovich | PRESIDENT AND CHIEF COMPLIANCE OFFICER; VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Thomas P Flavin | PRESIDENT | — |
| FLAVIN JOHN P | PRESIDENT | — |
| NOONEY BARBARA ANN | VICE PRESIDENT | — |
| Treskovich Matthew Aaron | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-04-10 | regulatory | INVESTMENT ADVISER, THOMAS FLAVIN, HAVING BEEN CONTINUOUSLY REGISTERED IN THE STATE OF FLORIDA SINCE 2000, BECAME DEFICIENT IN 2009 DUE TO AN UNFILED FINRA APPLICATION. THIS DEFICIENCY WAS CORRECTED IN 2015. | Final | $15K |
| 2012-05-07 | regulatory | THE OFFICE FOUND THAT THE FIRM HAD NOT TIMELY FILED FINANCIAL STATEMENTS UNDER RULE 69W-600.015 FOR YEARS 2009, 2010, AND 2011. DELINQUENT FILINGS WERE SUBSEQUENTLY REMEDIED. | Final | $3K |