Michael W. Herlihy

RMC INVESTMENT ADVISORS

West Hartford, CT 06105

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CRD#: 2220862

Professional summary

Michael William Herlihy is a registered financial advisor currently at RMC INVESTMENT ADVISORS located in West Hartford, Connecticut.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Michael has worked at 2 firms and has passed the Series 66, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) 10/2017 Kingston Real Estate Partners, LLC; Member; 31 Meadowbrook Rd. West Hartford, CT 06107; Real Estate/Private Investment Partnership: Review investment opportunities; approximately 1% of professional time is spent on business: non -investment related 2) 07/2017 Downstream Properties LLC; Managing Member; 433 S Main St. Suite 200, West Hartford, CT 06110; Real Estate: Building Management, approximately 1% of professional time is spent on business; non - investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael William Herlihy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 3, 2005 - Present

RMC INVESTMENT ADVISORS

Office #1: 643 Prospect Avenue, West Hartford, CT 06105

RIA

CRD#: 104674

West Hartford, CT

Past

August 27, 1998 - October 29, 1999

ADVEST, INC.

CRD#: 10

HARTFORD, CT

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".

RMC INVESTMENT ADVISORS

RESOURCES MANAGEMENT CORP | RMC INVESTMENT ADVISORS

CRD#: 104674 / SEC#: 801-21902

RIA

Registered Investment Advisory firm - (8/24/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/3/2005)

IAR

Texas
(6/27/2018)

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

IAR

Series 66

Date: 9/11/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/26/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 10/1/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

RMC INVESTMENT ADVISORS

RESOURCES MANAGEMENT CORP | RMC INVESTMENT ADVISORS

CRD#: 104674 / SEC#: 801-21902

RIA

Registered Investment Advisory firm - (8/24/1984 Approved)

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Contact information

Main Address

643 Prospect Avenue, West Hartford, CT 06105

Mailing Address

Phone number

(860) 561-1245

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 - BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	852
AUM (Assets Under Management)	$ 986,774,418

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
10/27/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Michael W. Herlihy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael William Herlihy's CRS (Customer Relationship Summary).

Certified licenses

Experience

RMC INVESTMENT ADVISORS

ADVEST, INC.

Primary Firm SEC Registration

RMC INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/11/1998

Series 7

Date: 8/26/1998

Series 8

Date: 10/1/1998

Current Firm

RMC INVESTMENT ADVISORS

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RMC INVESTMENT ADVISORS

TRUST BUT VERIFY

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