Brian Mccarthy

MORNINGSTAR INVESTMENT MANAGEMENT LLC

Glastonbury, CT

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CRD#: 1889464

Professional summary

Brian Mccarthy, who also goes by Brian Christopher Mccarthy, Brian Mccarthy, is a registered financial advisor currently at MORNINGSTAR INVESTMENT MANAGEMENT LLC located in Glastonbury, Connecticut.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Brian has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Christopher Mccarthy | Brian Mccarthy

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 Brian Mccarthy'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®

None

Experience

Current

November 6, 2024 - Present

MORNINGSTAR INVESTMENT MANAGEMENT LLC

RIA

CRD#: 108031

Glastonbury, CT

Past

October 28, 2020 - September 28, 2023

ENVESTNET RETIREMENT SOLUTIONS, LLC

RIA

CRD#: 171570

Glastonbury, CT

Past

March 27, 2018 - November 5, 2018

APELLA WEALTH

RIA

CRD#: 171106

GLASTONBURY, CT

Past

March 10, 2018 - March 16, 2018

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

May 1, 2014 - November 5, 2018

SYMMETRY PARTNERS

RIA

CRD#: 120982

GLASTONBURY, CT

Past

September 20, 2013 - April 11, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

ENFIELD, CT

Past

March 8, 2011 - July 23, 2012

GE INVESTMENT DISTRIBUTORS, INC

CRD#: 32087

STAMFORD, CT

Past

April 14, 2010 - March 3, 2011

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

SIMSBURY, CT

Past

March 18, 2009 - May 6, 2010

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

May 27, 2008 - March 18, 2009

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

HARTFORD, CT

Past

April 2, 2007 - November 29, 2007

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

GLASTONBURY, CT

Past

April 2, 2007 - November 29, 2007

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

GLASTONBURY, CT

Past

September 9, 2005 - April 3, 2007

CANTELLA & CO., INC.

RIA

CRD#: 13905

GLASTONBURY, CT

Past

May 20, 2005 - April 3, 2007

CANTELLA & CO., INC.

CRD#: 13905

GLASTONBURY, CT

Past

November 15, 2001 - June 1, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 23, 2001 - May 3, 2001

GE INVESTMENT DISTRIBUTORS, INC

CRD#: 32087

STAMFORD, CT

Past

September 14, 1992 - April 15, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 9, 1991 - September 25, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

MORNINGSTAR INVESTMENT MANAGEMENT LLC

IBBOTSON ASSOCIATES, INC. | MORNINGSTAR INVESTMENT MANAGEMENT LLC | MORNINGSTAR ASSOCIATES, LLC

CRD#: 108031 / SEC#: 801-56896

RIA

Registered Investment Advisory firm - (10/18/1999 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/6/2024)

IAR

Illinois
(11/6/2024)

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: 9/1/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/16/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/10/2018

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 9/6/1991

General Securities Representative Examination

Current Firm

MORNINGSTAR INVESTMENT MANAGEMENT LLC

IBBOTSON ASSOCIATES, INC. | MORNINGSTAR INVESTMENT MANAGEMENT LLC | MORNINGSTAR ASSOCIATES, LLC

CRD#: 108031 / SEC#: 801-56896

RIA

Registered Investment Advisory firm - (10/18/1999 Approved)

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Contact information

Main Address

22 West Washington Street, Chicago, IL 60602

Mailing Address

Phone number

(312) 696-6000

Established

Firm type

Fiscal year end

# of Employees

323

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MORNINGSTAR WEALTH SERVICES (11/10/2025)

INSTITUTIONAL ADVISORY SERVICES (3/28/2025)

RETIREMENT SERVICES FOR INDIVIDUALS (3/28/2025)

METLIFE EXPERTSELECT PROGRAM (3/28/2025)

Regulatory assets under management

Total Number of Accounts	592,301
AUM (Assets Under Management)	$ 76,595,000,000

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

Firm Stability Insights

Brian Mccarthy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Mccarthy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ENVESTNET RETIREMENT SOLUTIONS, LLC

APELLA WEALTH

NORTHERN LIGHTS DISTRIBUTORS, LLC

SYMMETRY PARTNERS

MML INVESTORS SERVICES, LLC

GE INVESTMENT DISTRIBUTORS, INC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

HIMCO DISTRIBUTION SERVICES COMPANY

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

CANTELLA & CO., INC.

CANTELLA & CO., INC.

CAPITAL BROKERAGE CORPORATION

GE INVESTMENT DISTRIBUTORS, INC

FIDELITY BROKERAGE SERVICES LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

MORNINGSTAR INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/2005

Series 63

Date: 9/19/1991

SIE

Date: 3/16/2018

Series 6

Date: 3/10/2018

Series 7

Date: 9/6/1991

Current Firm

MORNINGSTAR INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MORNINGSTAR INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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