Fredrick J. Livingston

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CRD#: 1020820

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Fredrick Joseph Livingston was a registered financial professional .

Fredrick is a previously registered financial professional and started their career in finance in 1982. Fredrick had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 2/22/2012 - Planmark Capital Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Time Spent 10%. 2. 5/28/2013: PLANMARK FINANCIAL GROUP, INC. - THIRD PARTY ADMINSTRATION -QUAL RETIR PLNS - TIME SPENT 15%. 3. 1/26/2017 - Wellspring Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/17/2017 - 135 Hours Per Month During Securities Trading. 4. 2/2/2017 - Wellspring Wealth Management, LLC - DBA: (Hybrid) Wellspring Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 01/17/2017 - 10 Hours Per Month/0 Hours During Securities Trading - I provide investment advisory services through Wellspring Wealth Management, LLC, an independent investment advisor firm. I started this business activity on 02/02/2017. I expect to spend approximately 10 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 15, 2017 - December 8, 2022

WELLSPRING WEALTH MANAGEMENT LLC

RIA

CRD#: 134834

Alpharetta, GA

Past

April 15, 2003 - January 17, 2017

PLANMARK CAPITAL MANAGEMENT, LLC

RIA

CRD#: 126158

ALPHARETTA, GA

Past

March 14, 2003 - January 27, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

ALPHARETTA, GA

Past

May 17, 1996 - January 27, 2020

LPL FINANCIAL LLC

CRD#: 6413

ALPHARETTA, GA

Past

September 13, 1988 - March 14, 1996

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

May 4, 1987 - December 18, 1987

FEDERATION FOR FINANCIAL INDEPENDENCE

CRD#: 13355

Past

March 6, 1987 - June 10, 1987

STONEX SECURITIES INC.

CRD#: 18456

Past

July 8, 1983 - January 26, 1984

USLIFE EQUITY SALES CORP.

CRD#: 7962

Past

March 25, 1982 - January 28, 1986

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

Past

February 21, 1982 - January 27, 1986

PRUCO SECURITIES, LLC.

CRD#: 5685

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WELLSPRING WEALTH MANAGEMENT LLC

CRD#: 134834 / SEC#: 801-64350

RIA

Registered Investment Advisory firm - (6/20/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/23/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/15/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/13/1999

General Securities Principal Examination

Current Firm

WELLSPRING WEALTH MANAGEMENT LLC

CRD#: 134834 / SEC#: 801-64350

RIA

Registered Investment Advisory firm - (6/20/2005 Approved)

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Contact information

Main Address

11720 Amber Park Drive Suite 150, Alpharetta, GA 30009-2276

Mailing Address

Phone number

(770) 410-4088

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - APPENDIX 1 (3/27/2025)

WELLSPRING WEALTH MANAGEMENT ADV 2A ADVISORY (3/27/2025)

Regulatory assets under management

Total Number of Accounts	641
AUM (Assets Under Management)	$ 498,151,872

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Fredrick J. Livingston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PLANMARK CAPITAL MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

GUARDIAN INVESTOR SERVICES LLC

FEDERATION FOR FINANCIAL INDEPENDENCE

STONEX SECURITIES INC.

USLIFE EQUITY SALES CORP.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

WELLSPRING WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/23/1982

SIE

Date: 10/1/2018

Series 7

Date: 9/24/1997

Series 6

Date: 3/15/1982

Series 24

Date: 4/13/1999

Current Firm

WELLSPRING WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLSPRING WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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