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Brian Mccarthy

Morningstar Investment Management LLC

Glastonbury, CT

Chicago, IL

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Current Employers
Morningstar Investment Management Llc

22 West Washington Street, Chicago, IL 60602 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-11-06
IL RA APPROVED 2024-11-06
  • CT RA
    APPROVED
    Since 2024-11-06
  • IL RA
    APPROVED
    Since 2024-11-06

Branch Locations

Glastonbury, CT • United States

22 West Washington Street, Chicago, IL 60602 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Symmetry Partners, Llc Glastonbury CT 03/2014 11/2018
Northern Lights Distributors, Llc Omaha NE 01/2018 03/2018
Apella Capital, Llc Glastonbury CT 03/2018 11/2018
Envestnet Retirement Solutions Chicago IL 11/2018 11/2023
Morningstar Investment Management Llc Chicago IL 09/2024 Present
Buckingham Strategic Wealth St. Louis MO 04/2024 05/2024
Mercer Tampa FL 05/2024 09/2024
Unemployed Glastonbury CT 12/2023 04/2024
  • 03/2014 → 11/2018
    Symmetry Partners, Llc
    Glastonbury, CT
  • 01/2018 → 03/2018
    Northern Lights Distributors, Llc
    Omaha, NE
  • 03/2018 → 11/2018
    Apella Capital, Llc
    Glastonbury, CT
  • 11/2018 → 11/2023
    Envestnet Retirement Solutions
    Chicago, IL
  • 09/2024 → Present
    Morningstar Investment Management Llc
    Chicago, IL
  • 04/2024 → 05/2024
    Buckingham Strategic Wealth
    St. Louis, MO
  • 05/2024 → 09/2024
    Mercer
    Tampa, FL
  • 12/2023 → 04/2024
    Unemployed
    Glastonbury, CT
Previous Registrations
  • 2020-10-28 → 2023-09-28
    Envestnet Retirement Solutions, Llc
    Glastonbury, CT
    Berwyn, PA
  • 2014-05-01 → 2018-11-05
    Symmetry Partners
    Glastonbury, CT
  • 2018-03-27 → 2018-11-05
    Apella Wealth
    West Hartford, CT
  • 2007-04-02 → 2007-11-29
    Woodbury Financial Services, Inc.
    Glastonbury, CT
  • 2005-09-09 → 2007-04-03
    Cantella & Co., Inc.
    Waterbury, CT
    Glastonbury, CT
    Malden, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-09-01
S63 Uniform Securities Agent State Law Examination 1991-09-19
  • S65 Uniform Investment Adviser Law Examination
    2005-09-01
  • S63 Uniform Securities Agent State Law Examination
    1991-09-19
Other Names
  • Brian Christopher Mccarthy
  • Brian Mccarthy

View on SEC IAPD

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