Stephen Thomas Herlihy
CFP®Professional Summary
Stephen Thomas Herlihy, CFP®, who also goes by Steve Herlihy, is a registered financial advisor currently at WELLSPRING PLANNING GROUP LLC located in Roswell, Georgia and HIGHTOWER SECURITIES, LLC located in Roswell, Georgia. Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Stephen has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
Steve is a Partner with Wellspring Associates where he has dedicated over 28 years implementing the Wealth Integration Process™ for affluent families, family offices and their advisors. His practice focuses on Wealth Transfer Audits and in-depth Life Insurance Audits. Steve is a firm believer in the statement “What you don’t know, can hurt you”. Steve has authored and published white papers on Life Insurance Audits and Effective Trust Mapping for Family Office Exchange. Copies can...
Other Aliases
Steve Herlihy
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
WELLSPRING PLANNING GROUP LLC
Contact Information
Main Address
200 Mansell Court East Suite 430, Roswell, GA 30076Phone Number
(404) 924-4005# of Employees
10Documents
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(7/13/2016)
(7/7/2020)
(12/21/2023)
(5/3/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1995About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Thomas Herlihy's CRS (Customer Relationship Summary).
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