Christopher B. Carolan

DIMENSIONS WEALTH MANAGEMENT

Roseville, CA 95678

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CRD#: 4402629

Professional summary

Christopher Brian Carolan, CFP®, who also goes by Chris Brian Carolan, Christopher B Carolan, Christopher Brian Carolan, is a registered financial advisor currently at DIMENSIONS WEALTH MANAGEMENT, LLC located in Roseville, California and KINGSWOOD CAPITAL PARTNERS, LLC located in San Diego, California.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Brian Carolan | Christopher B Carolan | Christopher Brian Carolan

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 Christopher Brian Carolan'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: 2006

Experience

Current

November 2, 2018 - Present

DIMENSIONS WEALTH MANAGEMENT, LLC

Office #1: 915 Highland Pointe Drive, Ste. 250, Roseville, CA 95678

RIA

CRD#: 298928

Roseville, CA

Current

November 2, 2018 - Present

KINGSWOOD CAPITAL PARTNERS, LLC

Office #1: 11440 W. Bernardo Ct Suite 300, San Diego, CA 92127

CRD#: 288898

San Diego, CA

Past

June 1, 2009 - November 5, 2018

MORGAN STANLEY

RIA

CRD#: 149777

ROSEVILLE, CA

Past

June 1, 2009 - November 5, 2018

MORGAN STANLEY

CRD#: 149777

ROSEVILLE, CA

Past

September 14, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

LINCOLN, CA

Past

September 14, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

LINCOLN, CA

Past

January 17, 2003 - August 29, 2007

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

LINCOLN HILLS, CA

Past

July 13, 2001 - August 29, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

LINCOLN HILLS, 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".

DIMENSIONS WEALTH MANAGEMENT, LLC

AMITIE ADVISORS, LLC | DIMENSIONS WEALTH MANAGEMENT, LLC

CRD#: 298928 / SEC#: 801-123725

RIA

Registered Investment Advisory firm - (4/19/2022 Approved)

California

Registered Investment Advisory firm - (5/20/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/20/2022 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.

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

California
(11/2/2018)

IAR

California
(11/5/2018)

IAR

Texas
(11/2/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/2/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/7/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/11/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

DIMENSIONS WEALTH MANAGEMENT, LLC

AMITIE ADVISORS, LLC | DIMENSIONS WEALTH MANAGEMENT, LLC

CRD#: 298928 / SEC#: 801-123725

RIA

Registered Investment Advisory firm - (4/19/2022 Approved)

California

Registered Investment Advisory firm - (5/20/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/20/2022 Terminated)

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Contact information

Main Address

915 Highland Point Drive, Ste. 250, Roseville, CA 95678

Mailing Address

Phone number

(916) 330-4108

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	359
AUM (Assets Under Management)	$ 139,279,096

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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Firm Stability Insights

Christopher B. Carolan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KINGSWOOD CAPITAL PARTNERS, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

DIMENSIONS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2007

Series 63

Date: 9/11/2001

SIE

Date: 10/1/2018

Series 31

Date: 4/7/2008

Series 7

Date: 7/11/2001

FINRA

Current Firm

DIMENSIONS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIMENSIONS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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