Flaharty Asset Management, LLC (the “Firm” or “Advisor”) is a limited liability corporation formed under Florida law and is registered as an investment advisor. The Firm was established in June 2013 by Shon Flaharty, the Firm’s CEO. The Advisor is wholly owned by Flaharty & Associates, LLC. Shon Flaharty is Flaharty & Associates, LLC’s controlling owner and Manager. John “Hunter” Orr is a minority owner of Flaharty & Associates, LLC. Shon Flaharty has been an investment professional for over twenty years. He has been a registered representative and investment advisor representative with LPL Financial LLC since 2007. Mr. Flaharty was registered with Bank of America Investment Services, Inc. from 2004 to 2007 and Merrill Lynch Pierce, Fenner & Smith Incorporated from 1995 to 2004. Mr. Flaharty received his Bachelor of Business Administration from the University of Miami in 1987. Mr. Flaharty was born in 1963. Hunter Orr has been Chief Investment Officer and an investment advisor representative of Flaharty Asset Management, LLC since September 2013 and a minority owner of Flaharty & Associates, LLC since January 2014. He has been a registered representative with LPL Financial LLC since January 2016. He was Chief Investment Officer of Flaharty & Associates, LLC from 2010 to 2013 and Director of Research of Alpha Street Research from 2010 to 2015. He was Managing Partner of MGTB Capital from 2009 to 2013 and an employee of Raymond James in 2009 and a real estate inspector from 2000 to 2009. Mr. Orr received his bachelor’s degree in Economics from the University of South Florida in 2006 and his Masters in Finance from the University of Tampa in 2009. Mr. Orr was born in 1980. The Advisor provides customized investment programs to address clients’ specific issues, within their specific time horizon and considering their personal tolerance for risk. Once a client adopts this personalized investment strategy as their own, the Advisor provides the discipline. This process is a continuous cycle with the Advisor that, through regular reviews, adapts to the changes in the client’s life. The Advisor’s advisory services include portfolio management, financial planning, and consulting services. This Brochure provides information about the Advisor and its advisory services. The Advisor provides information in a separate disclosure brochure for its services offered through the Flaharty Investment Management Program. Through the Flaharty Investment Management Program, the Advisor provides customized Investment advice and management to the client. Under the Flaharty Investment Management Program, the Advisor exercises discretion over the client’s account and the corresponding broker-dealer custodian’s execution and transaction charges are included in the advisory fee the Advisor charges for its services. If clients would like more information on this program, clients should contact their investment adviser representative (“IAR”) for a copy of the Advisor’s ADV Part 2A Appendix 1 (“Wrap Brochure”) that describes the program or go to www.adviserinfo.sec.gov. The Advisor provides advisory services for the following types of investments: equity securities, warrants, options, debt securities, REITS, mutual funds, closed end funds, exchange traded funds, unit investment trusts, private placements, limited partnerships, structured products, alternative investments, annuities and life insurance contracts. As of December 31, 2023, the Advisor had $748,570,978 of regulatory assets under management managed on a discretionary basis, $12,589,814 managed on a non-discretionary basis, and $73,076,357 of assets under advisement.
Retirement Plan Consulting and Portfolio Management For consulting services associated with retirement plans, the Advisor’s recommendations will be limited to the investment options available within the client’s retirement plan and other securities that may be available in brokerage windows or other similar plan arrangements that enable participants to select investments beyond those designated by the client’s retirement plan (e.g. mutual funds, exchange traded funds, collective investment trusts, pooled separate accounts, allocations among annuity sub-accounts, publicly traded employer stock (“company stock”)). The Advisor does not provide any advice

or recommendations regarding any participant loans from a client’s retirement plan assets. The client retains the sole responsibility for determining whether to implement any recommendations made by the Advisor and for placing any resulting transactions. The Advisor does not provide ongoing consulting services, and does not have discretionary authority with respect to the client’s assets. A client is under no obligation to act upon the Advisor’s recommendation. If a client elects to act on any of the Advisor’s recommendations, the client is under no obligation to effect the transaction through the Advisor. If engaged to provide ongoing monitoring, the Advisor provides ongoing investment advice and management of a customized client portfolio on a discretionary and non-discretionary basis according to the client’s investment objective and financial situation. The Advisor’s advice is tailored to the individual needs of the client. A client may impose restrictions on investing in certain securities or groups of securities by indicating in the Investment Advisory Agreement. The Advisor will conduct regular portfolio, investment, and planning reviews to help ensure a client’s financial objectives are consistent with the client’s investment portfolio. Clients choosing to engage the Advisor’s services will enter into a written Investment Advisory Agreement and be charged an advisory fee for the Advisor’s services. The client is charged separate fees for brokerage and execution services provided by the broker-dealer maintaining custody of the client’s account. Consulting Services The Advisor provides consulting services on an hourly basis. The Advisor’s advice takes into account information collected from the client such as financial status, investment objectives and tax status, among other data. The Advisor will deliver to the client a written analysis or report as part of its services if selected in the Investment Advisory Consulting Agreement. The Advisor tailors the hourly consulting services to the individual needs of the client based on the client’s investment objectives. The Advisor does not have any discretionary investment authority when offering hourly consulting services. The Advisor will make recommendations as to general types of investment products or securities that may be appropriate for a client to consider and may also provide recommendations regarding specific investments or securities. Financial Planning The Advisor provides clients financial planning services to aid them in defining personal financial goals and objectives related to their investment objectives and risk tolerances. The Advisor will complete a financial plan through examination of a client’s current financial situation, which includes a review of a client’s investment objectives, time horizon, and risk parameters as well as a review of a client’s assets and liabilities, income, cash flow, and estate issues. The client retains the sole responsibility for determining whether to implement any recommendations made by the Advisor and for placing any resulting transactions. The Advisor does not provide ongoing financial planning services, and does not have discretionary authority with respect to the client’s assets. A client is under no obligation to act upon the Advisor’s recommendation. If a client elects to act on any of the Advisor’s recommendations, the client is under no obligation to effect the transaction through the Advisor. Separately Managed Account Programs The Advisor may recommend separately managed accounts. Under these accounts, the Advisor will introduce the client to, and advise on the selection of, independent portfolio manager(s) who provide discretionary management of individual portfolios using a variety of different securities analysis methods, sources of information and investment strategies. Clients receive separate disclosure from such portfolio managers regarding any such portfolio manager’s advisory services. The Advisor selects the appropriate independent portfolio manager(s), based upon the client’s financial needs and investment objectives. The unaffiliated portfolio manager establishes custodial facilities, monitors performance, provides clients with performance accounting and other administrative services, and handles certain trading activities.