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Brett H Carolan

Other Names: Brett Howard Carolan
Firm:
Brighton Jones LLC
Member
Type: RIA
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Description

Brett Carolan an executive and is a minority owner of Brighton Jones LLC, a $2B dollar RIA based in Seattle, WA. Brett has held an industry securities registration for 15 years and is subject to SEC oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Brett H Carolan has not answered any questions on Financial Q&A.

Top Guides

Brett H Carolan has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
Investment Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
FSIC 10 years May 2003 - Present
Brighton Jones LLC 10 years, 1 month Apr 2003 - Present
Financial Network Investment Corporation 3 years, 10 months Jun 1999 - Apr 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/08/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
11/08/2011
03/23/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 07/27/1999
Uniform Securities Agent State Law Examination Series 63 06/14/1996
General Securities Representative Examination Series 7 05/29/1996

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees