Brian J. Cotroneo
MOORS & CABOT
Ponte Vedra, FL
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CRD#: 5329180
Professional summary
Brian J Cotroneo, CFP®, who also goes by Brian Joseph Cotroneo, Brian Cotroneo, is a registered financial advisor currently at MOORS & CABOT, INC. located in Ponte Vedra, Florida.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Brian has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Joseph Cotroneo | Brian Cotroneo
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.
CRS (Client Relationship Summary) - RIA
Click below to view Brian J Cotroneo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian J Cotroneo'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®
CFP®
Start date: 2023
Experience
Current
July 5, 2023 - Present
MOORS & CABOT, INC.
Office #2: 999 Vanderbilt Beach Road Suite 102, Naples, FL 34108RIA
BD
CRD#: 594
Ponte Vedra, FL
Current
September 5, 2023 - Present
MOORS & CABOT, INC.
Office #1: 999 Vanderbilt Beach Road Suite 102, Naples, FL 34108RIA
BD
CRD#: 594
Naples, FL
Past
December 1, 2020 - July 5, 2023
AVIANCE CAPITAL PARTNERS LLC
RIA
CRD#: 146597
Ponte Vedra Beach, FL
Past
August 30, 2019 - May 4, 2020
HARBOR VIEW ADVISORS, LLC
BD
CRD#: 151817
PONTE VEDRA, FL
Past
May 10, 2019 - August 21, 2019
BOFA SECURITIES, INC.
BD
CRD#: 283942
NEW YORK, NY
Past
September 9, 2008 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Arizona(9/21/2023)
RR
California(4/15/2025)
IAR
California(4/15/2025)
RR
Connecticut(5/30/2025)
IAR
Connecticut(5/30/2025)
IAR
Florida(7/5/2023)
RR
Florida(9/21/2023)
IAR
Georgia(8/7/2023)
RR
Georgia(9/21/2023)
RR
Idaho(7/30/2025)
IAR
Illinois(8/7/2023)
RR
Illinois(9/21/2023)
RR
Indiana(7/29/2025)
RR
Maryland(5/28/2025)
IAR
Maryland(5/28/2025)
RR
Massachusetts(7/17/2024)
RR
Michigan(6/26/2025)
RR
Minnesota(5/14/2024)
IAR
Montana(8/1/2023)
RR
Montana(9/21/2023)
IAR
New Jersey(8/1/2023)
RR
New Jersey(9/21/2023)
IAR
New York(8/1/2023)
RR
New York(9/21/2023)
RR
North Carolina(1/17/2025)
IAR
North Carolina(1/21/2025)
IAR
Ohio(8/1/2023)
RR
Ohio(9/21/2023)
RR
Oregon(7/10/2025)
RR
South Carolina(7/28/2025)
RR
Texas(5/3/2025)
IAR
Texas(5/4/2025)
IAR
Wisconsin(8/1/2023)
RR
Wisconsin(9/21/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/5/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 8/30/2019
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 4 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
