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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

Stephen Thomas Herlihy

Advisor at WELLSPRING PLANNING GROUP LLC

Roswell, GA

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Search this name across graphsid dfx:ria:55a4b6d9-c2db-5760-d7e3-fe20bf34a6f3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 30, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLSPRING PLANNING GROUP LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 26, 1995
First registration: Jan 30, 2003
Dual registered: yes, broker-dealer
Other names: STEVE HERLIHY
IAPD individual key: 2589984

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLSPRING PLANNING GROUP LLC	State registered	Jul 13, 2016	n/a	yes	Roswell, GA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 1, 2009	Dec 18, 2009	no	ATLANTA, GA	Previous registration
WELLSPRING WEALTH MANAGEMENT LLC	Independent wealth	Aug 6, 2009	Jun 17, 2016	no	ALPHARETTA, GA	Previous registration
WELLSPRING WEALTH MANAGEMENT LLC	Independent wealth	Jun 6, 2006	Feb 23, 2009	no	ALPHARETTA, GA	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Jun 8, 2004	Oct 13, 2009	no	ATLANTA, GA	Previous registration
WS GRIFFITH SECURITIES, INC.	n/a	Jan 30, 2003	Jun 8, 2004	no	ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLSPRING WEALTH MANAGEMENT LLC	LPL FINANCIAL LLC	Jun 17, 2016	Oct 1, 2009	-2,451	Firm change after gap	Other
LPL FINANCIAL LLC	WELLSPRING PLANNING GROUP LLC	Dec 18, 2009	Jul 13, 2016	2,399	Firm change after gap	Other
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	WELLSPRING WEALTH MANAGEMENT LLC	Oct 13, 2009	Jun 6, 2006	-1,225	Firm change after gap	Other
WS GRIFFITH SECURITIES, INC.	ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	Jun 8, 2004	Jun 8, 2004	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
134834:6413:GA:2016-06-17	Jun 17, 2016	Oct 1, 2009	ALPHARETTA, GA	Firm change after gap

Relationships

Registered with (5)

→ WELLSPRING PLANNING GROUP LLCRegistered adviserregistration: current employment
Jul 13, 2016 to presentfactForm ADV
→ WELLSPRING WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Aug 6, 2009 to Jun 17, 2016factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 1, 2009 to Dec 18, 2009factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Jun 8, 2004 to Oct 13, 2009factForm ADV
→ WS GRIFFITH SECURITIES, INC.Registered adviserregistration: previous registration
Jan 30, 2003 to Jun 8, 2004factForm ADV

Dated events

No dated event names this entity yet.