Timothy J. Herlihy

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2013-02-19

MA RA
APPROVED

Since 2013-02-19

Branch Locations

Kingston, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Brockton	MA	11/2011	Present

11/2011 → Present

Lpl Financial Llc

Brockton, MA

Previous Registrations

2005-02-17 → 2012-07-02

U.S. Financial Advisors

Braintree, MA
2003-12-01 → 2004-12-15

The Herlihy Company, Inc.

Worcester, MA

Other Businesses

1. 12/02/2011: OTHER - NOTARY - 3% OF TIME SPENT - KINGSTON, MA. 2. 8/9/2012: NON-VARIABLE INSURANCE - AGENT - TIME SPENT 25% - KINGSTON, MA 3. 12/06/2023: No Business Name - Non-Inv Related - Outside/W-2 Employment - USA Ice Hockey Official - Started: 9/23/2023 - 20 Hrs/Mo; 0 Hrs During Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-17
S63	Uniform Securities Agent State Law Examination	1999-08-20

S65 Uniform Investment Adviser Law Examination

1999-12-17
S63 Uniform Securities Agent State Law Examination

1999-08-20

Designations

Certified Financial Planner

Other Names

Timothy Jay Herlihy

View on SEC IAPD