DC
DC
David Carolan
30 Years of Experience
Chestnut Hill, MA
2 DisclosuresBroker
David Carolan is a registered investment advisor at Charles Schwab & CO., INC., based in Chestnut Hill, MA, with 30 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more.
Compensation
Fixed/Hourly
Firm Size
8406 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Planning is included in investment management
Minimum Annual Fee:$4,000
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
1262 Boylston Street, Floor 01, Chestnut Hill, MA, 02467-2104
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2008Settled
Criminal
September 1990Final Disposition
Employment History
Current Registrations
Charles Schwab & CO., INC.
January 2019 - Present · 7 yrs 9 mos
Charles Schwab & CO., INC.Broker
March 2003 - Present · 23 yrs 7 mos
Previous Registrations
Charles Schwab & CO., INC.Broker
July 2002 - December 2002 · 5 mos
Fidelity Brokerage Services LLCBroker
October 2000 - August 2001 · 10 mos
National Financial Services LLCBroker
April 2000 - August 2001 · 1 yr 4 mos
Fidelity Brokerage Services, INC.Broker
May 1999 - April 2000 · 11 mos
National Financial Services CorporationBroker
June 1998 - December 1998 · 6 mos
Fidelity Brokerage Services, INC.Broker
November 1994 - June 1998 · 3 yrs 7 mos
State Registrations31 states
CACOCTDCFLGAHIILINLAMAMDMEMSMTNCNENHNJNMNYPARISCTNTXUTVAVTVirgin IslandsWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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