Brendan C. Herlihy

EXCALIBUR MANAGEMENT CORP

Waltham, MA 02451

Some features on this profile are disabled

CRD#: 2620937

Professional summary

Brendan Charles Herlihy, CFP® is a registered financial advisor currently at EXCALIBUR MANAGEMENT CORP located in Waltham, Massachusetts.

Brendan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Brendan has worked at 4 firms and has passed the Series 63 and Series 7 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.

The Herlihy Company Inc.; State registered investment advisor; One Dix Street, Worcester, MA 01609; President; 2004 (# of Hours/Month); (# of Hours during securities trading hours); President

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brendan Charles 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®

CFP^®

Certified Financial Planner

Experience

Current

March 5, 2019 - Present

EXCALIBUR MANAGEMENT CORP

Office #1: Bay Colony Corporate Center 950 Winter Street North, Suite 4100, Waltham, MA 02451

RIA

CRD#: 110836

Waltham, MA

Past

February 4, 2004 - December 31, 2019

THE HERLIHY COMPANY, INC.

RIA

CRD#: 129153

WORCESTER, MA

Past

April 7, 2000 - December 9, 2003

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

WORCESTER, MA

Past

July 18, 1996 - December 9, 2003

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

June 1, 1995 - July 15, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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".

EXCALIBUR MANAGEMENT CORP

CRD#: 110836 / SEC#: 801-39935

RIA

Registered Investment Advisory firm - (9/11/1991 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

Massachusetts
(3/5/2019)

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: 6/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/31/1995

General Securities Representative Examination

Current Firm

EXCALIBUR MANAGEMENT CORP

CRD#: 110836 / SEC#: 801-39935

RIA

Registered Investment Advisory firm - (9/11/1991 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Bay Colony Corporate Center 950 Winter Street North, Suite 4100, Waltham, MA 02451

Mailing Address

Phone number

(617) 916-9669

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

10 23 2025 EMC FORM ADV PART 2A AND 2B FINAL (10/30/2025)

Regulatory assets under management

Total Number of Accounts	906
AUM (Assets Under Management)	$ 657,022,630

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/20/2024	Cover Page	Report
10/10/2023	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brendan C. Herlihy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brendan Charles Herlihy's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXCALIBUR MANAGEMENT CORP

THE HERLIHY COMPANY, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

EXCALIBUR MANAGEMENT CORP

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/1995

Series 7

Date: 5/31/1995

Current Firm

EXCALIBUR MANAGEMENT CORP

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EXCALIBUR MANAGEMENT CORP

TRUST BUT VERIFY

Similar Advisors