TH
Thomas J. Herlihy
MEANS WEALTH MANAGEMENT
Bangor, ME 04401-3614
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CRD#: 7497199
TH
Professional summary
Thomas J Herlihy, who also goes by Tj Herlihy, is a registered financial advisor currently at MEANS WEALTH MANAGEMENT located in Bangor, Maine.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Thomas has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tj Herlihy
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) Lakeside Investments LLC; Investment related: Yes; Location: 82 Grant Road ORONO ME 04473 United States; Description: Creating an LLC to purchase lakefront property.; Position Title: Manager; Responsibilities Duties: Signatory for the LLC, Ownership: 25%; Start date: 2023-09-24; Hours per month during trading hours: 0; Hours per month outside trading hours: 1.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas J Herlihy's 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®
NoneExperience
Current
January 31, 2022 - Present
MEANS WEALTH MANAGEMENT
Office #1: 802 Stillwater Ave., Bangor, ME 04401-3614RIA
CRD#: 2748
Bangor, ME
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".
MEANS WEALTH MANAGEMENT
MEANS INVESTMENT CO., INC. | MEANS WEALTH MANAGEMENT | MEANS INVESTMENT COMPANY
CRD#: 2748 / SEC#: 801-80992, 8-27458
RIA
Registered Investment Advisory firm - SEC (2/19/2015 Approved)Maine
Registered Investment Advisory firm - SEC (2/24/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/26/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (7/20/2005 Terminated)BD
Terminated by SEC on 03/31/2019
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
Maine(1/31/2022)
Current Firm
MEANS WEALTH MANAGEMENT
MEANS INVESTMENT CO., INC. | MEANS WEALTH MANAGEMENT | MEANS INVESTMENT COMPANY
CRD#: 2748 / SEC#: 801-80992, 8-27458
RIA
Registered Investment Advisory firm - SEC (2/19/2015 Approved)Maine
Registered Investment Advisory firm - SEC (2/24/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/26/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (7/20/2005 Terminated)BD
Terminated by SEC on 03/31/2019
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Contact information
Main Address
802 Stillwater Ave., Bangor, ME 04401-3614
Mailing Address
Phone number
+1 (207) 947-6763
Established
Maine since 10/01/1981
Firm type
Corporation
Fiscal year end
December
# of Employees
22
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,302 |
| AUM (Assets Under Management) | $ 1,306,705,211 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MEANS WEALTH MANAGEMENT
CRD#: 2748Bangor, ME 04401-3614TRUST BUT VERIFY
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