BC
BC
Brian Carolan
28 Years of Experience
Peabody, MA
1 DisclosureBroker
Brian Carolan is a registered investment advisor at UBS Financial Services INC., based in Peabody, MA, with 28 years of industry experience. Brian 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. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
8 Essex Center Drive, 2nd Floor, Peabody, MA, 01960
Get directionsHistory
Regulatory History (1)
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
April 2001Denied
Employment History
Current Registrations
UBS Financial Services INC.Broker
February 2025 - Present · 1 yr 8 mos
UBS Financial Services INC.
February 2025 - Present · 1 yr 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2017 - February 2025 · 7 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2017 - February 2025 · 7 yrs 10 mos
UBS Financial Services INC.
August 2008 - May 2017 · 8 yrs 9 mos
UBS Financial Services INC.Broker
November 2007 - May 2017 · 9 yrs 6 mos
Citigroup Global Markets INC.Broker
March 2001 - December 2007 · 6 yrs 9 mos
Tucker Anthony IncorporatedBroker
June 1998 - March 2001 · 2 yrs 9 mos
Dean Witter Reynolds INC.Broker
February 1998 - April 1998 · 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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