BC
Brian K. Carroll
CETERA INVESTMENT ADVISERS LLC
WORCESTER, MA 01605
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CRD#: 1453789
BC
Professional summary
Brian Keith Carroll, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Worcester, Massachusetts and CETERA WEALTH SERVICES, LLC located in Worcester, Massachusetts.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Brian has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) NAME OF OTHER BUSINESS: AMERLIFE, LLC DBA STERLINGBRIDGE INSURANCE AGENCY, LLC INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 7/2025; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: PRESIDENT OF STERLINGBRIDGE INSURANCE AGENCY, LLC; 2) NAME OF OTHER BUSINESS: SMALL BUSINESS INSURANCE AGENCY, INC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE ; START DATE: 08/2019 ; POSITION/TITLE/RELATIONSHIP: SALES ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE ADMINISTRATION ; 3) SMALL BUSINESS SERVICE BUREAU & MOSAIC INSURANCE EXCHANGE GROUP (PREVIOUSLY NAMED DIRECT RESPONSE MARKETING): HEALTH REMITTANCE, GROUP HELATH APPLICATION PROCESSING, SINCE 1985 4) PIVOT, CARROLL ENTERPRISES PRESIDENT AN INTERNET AND CALL CENTER INSURANCE SALES AND SERVICE (NON-SECURITIES RELATED) FOR 2HRS/WK SINCE 2006//PRESIDENT AND CEO OF CARROLL ENTERPRISES 5) FRC REALTY IS OWNED BY CARROLL ENTERPRISES FOR 0HRS/WK SINCE 1/2011//DIRECT RESPONSE MARKETING PRESIDENT AND CEO OF CARROLL ENTERPRISES FOR 0HRS/WK SINCE 1/1999// 6) CARROLL SECURITIES PRESIDENT AND CEO OF CARROLL ENTERPRISES FOR 0HR/WK SINCE 1/2011 7) NAME OF OTHER BUSINESS: SMALL BUSINESS INSURANCE ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NON-SECURITIES RELATED INSURANCE ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; START DATE: 09/2019 ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: NON-SECURITIES RELATED INSURANCE PRODUCTS SUCH AS GENERAL LIFE AND P&C. NO VARIABLE ANNUITIES ; 8) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES: INDEPENDENT INSURANCE AGENT DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, PROPERTY & CASUALTY FOR 10HRS, TRADING HOURS: VARIES/WK SINCE 1985. 9)NAME OF OTHER BUSINESS: RANDAL WHARF CONDOMINIUM ASSOCIATION, INVESTMENT RELATED: NO, ADDRESS: 8 WATER STREET, GROTON, CT 06355, NATURE OF BUSINESS: HOA, START DATE:11/2023, POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OVERSEE BUILDING MAINTENANCE; 10) NAME OF OTHER BUSINESS: DBA PIVOTAI, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: AI TECHNOLOGY SOLUTIONS, START DATE: 07/2020, POSITION/TITLE/RELATIONSHIP: OWNER/CEO, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: OVERSEE STRATEGIC DEPLOYMENT OF AI SOFTWARE SOLUTIONS,
CRS (Client Relationship Summary) - RIA
Click below to view Brian Keith Carroll's 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 324 Grove St, Worcester, MA 01605RIA
CRD#: 105644
WORCESTER, MA
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 38 Austin Street, Worcester, MA 01609BD
CRD#: 13572
Worcester, MA
Past
November 19, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WORCESTER, MA
Past
May 1, 1996 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
WORCESTER, MA
Past
August 15, 1994 - May 6, 1996
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
February 19, 1986 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/3/2013)
RR
Alaska(9/3/2013)
RR
Arizona(9/3/2013)
RR
Arkansas(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
RR
Delaware(9/3/2013)
RR
District of Columbia(9/3/2013)
RR
Florida(9/3/2013)
RR
Georgia(9/3/2013)
RR
Hawaii(9/3/2013)
RR
Idaho(9/3/2013)
RR
Illinois(9/3/2013)
RR
Indiana(9/3/2013)
RR
Iowa(9/3/2013)
RR
Kansas(9/3/2013)
RR
Kentucky(9/3/2013)
RR
Louisiana(9/3/2013)
RR
Maine(9/3/2013)
RR
Maryland(9/3/2013)
RR
Massachusetts(9/3/2013)
IAR
Massachusetts(6/29/2023)
RR
Michigan(9/3/2013)
RR
Minnesota(9/3/2013)
RR
Mississippi(9/3/2013)
RR
Missouri(9/3/2013)
RR
Montana(9/3/2013)
RR
Nebraska(9/3/2013)
RR
Nevada(9/3/2013)
RR
New Hampshire(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New Mexico(9/3/2013)
RR
New York(9/3/2013)
RR
North Carolina(9/3/2013)
RR
North Dakota(9/3/2013)
RR
Ohio(9/3/2013)
RR
Oklahoma(9/3/2013)
RR
Oregon(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
Puerto Rico(9/3/2013)
RR
Rhode Island(9/3/2013)
RR
South Carolina(9/3/2013)
RR
South Dakota(9/3/2013)
RR
Tennessee(9/3/2013)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
RR
Utah(9/3/2013)
RR
Vermont(9/3/2013)
RR
Virginia(9/3/2013)
RR
Washington(9/3/2013)
RR
West Virginia(9/3/2013)
RR
Wisconsin(9/3/2013)
RR
Wyoming(9/3/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Worcester, MA 01605TRUST BUT VERIFY
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