Carolann D. Brown

FOX HILL WEALTH MANAGEMENT

Newport, RI 02840

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CRD#: 1042653

Professional summary

Carolann Doherty Brown, CFP®, who also goes by Carol Brown, Carolann D Brown, Carolann D. Brown, Carolann Doherty, is a registered financial advisor currently at FOX HILL WEALTH MANAGEMENT located in Newport, Rhode Island.

Carolann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Carolann has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol Brown | Carolann D Brown | Carolann D. Brown | Carolann Doherty

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolann Doherty Brown's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

August 15, 2023 - Present

FOX HILL WEALTH MANAGEMENT

Office #1: 38 Bellevue Ave, Newport, RI 02840

RIA

CRD#: 321881

Newport, RI

Past

September 2, 2021 - January 4, 2022

PALLAS CAPITAL ADVISORS, LLC

RIA

CRD#: 310327

Middletown, RI

Past

October 23, 2008 - September 21, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PROVIDENCE, RI

Past

October 23, 2008 - September 21, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PROVIDENCE, RI

Past

July 1, 2003 - November 6, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEWPORT, RI

Past

July 1, 2003 - November 6, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEWPORT, RI

Past

July 1, 1987 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

NEWPORT, RI

Past

July 1, 1987 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 29, 1982 - July 13, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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".

FOX HILL WEALTH MANAGEMENT

CRD#: 321881 / SEC#: 801-127922

RIA

Registered Investment Advisory firm - (5/4/2023 Approved)

Massachusetts

Registered Investment Advisory firm - (5/15/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Rhode Island
(8/15/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/22/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/26/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/15/1982

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/17/1982

General Securities Representative Examination

Current Firm

FOX HILL WEALTH MANAGEMENT

CRD#: 321881 / SEC#: 801-127922

RIA

Registered Investment Advisory firm - (5/4/2023 Approved)

Massachusetts

Registered Investment Advisory firm - (5/15/2023 Terminated)

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Contact information

Main Address

84 Bridge Street, Dedham, MA 02026

Mailing Address

Phone number

(781) 613-2600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,131
AUM (Assets Under Management)	$ 251,789,085

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

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Carolann D. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolann Doherty Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

PALLAS CAPITAL ADVISORS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

FOX HILL WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/1993

Series 63

Date: 4/28/1982

Series 7TO

Date: 6/26/2024

SIE

Date: 10/1/2018

Series 3

Date: 9/15/1982

Series 7

Date: 4/17/1982

Current Firm

FOX HILL WEALTH MANAGEMENT

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOX HILL WEALTH MANAGEMENT

TRUST BUT VERIFY

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