Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Carolan is a financial professional with over 25 years of experience in the financial services industry. David is registered as a broker-dealer, investment advisor, and is currently employed by Charles Schwab & CO., Inc. David is also registered as an investment advisor representative in Texas. David has held previous positions at Fidelity Brokerage Services LLC and National Financial Services LLC. David holds the Series 6, Series 7, and Series 63 securities licenses. David is also qualified to provide advisory services in the following areas: financial planning, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
MA
01/07/2019 - Present
Charles Schwab & CO., Inc. (Chestnut Hill MA)
TX
07/12/2002 - 12/31/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
RI
10/23/2000 - 08/14/2001
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
MA
04/12/2000 - 08/14/2001
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
RI
05/03/1999 - 04/18/2000
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
MA
06/09/1998 - 12/31/1998
NATIONAL FINANCIAL SERVICES CORPORATION (BOSTON MA)
RI
11/25/1994 - 06/09/1998
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BC
Issued 09/29/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/1997
Series 7 - General Securities Representative Examination
BC
Issued 11/23/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure David Carolan is the right advisor for you? Invested Better is here to help.
