Brian Keith Carroll

Current Employers

Employment History

• 12/1985 → Present
  Small Business Insurance Agency
  Worcester, MA
• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 07/2020 → Present
  Dba Pivotai
  Worcester, ME
• 07/2025 → Present
  Amerlife, Llc Dba Sterlingbridge Insurance Agency, Llc
  Worcester, ME
• 12/2025 → Present
  Sbia Wealth
  Worcester, MD

Other Businesses

1) NAME OF OTHER BUSINESS: AMERLIFE, LLC DBA STERLINGBRIDGE INSURANCE AGENCY, LLC INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 7/2025; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: PRESIDENT OF STERLINGBRIDGE INSURANCE AGENCY, LLC; 2) NAME OF OTHER BUSINESS: SMALL BUSINESS INSURANCE AGENCY, INC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE ; START DATE: 08/2019 ; POSITION/TITLE/RELATIONSHIP: SALES ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FIXED INSURANCE ADMINISTRATION ; 3) SMALL BUSINESS SERVICE BUREAU & MOSAIC INSURANCE EXCHANGE GROUP (PREVIOUSLY NAMED DIRECT RESPONSE MARKETING): HEALTH REMITTANCE, GROUP HELATH APPLICATION PROCESSING, SINCE 1985 4) PIVOT, CARROLL ENTERPRISES PRESIDENT AN INTERNET AND CALL CENTER INSURANCE SALES AND SERVICE (NON-SECURITIES RELATED) FOR 2HRS/WK SINCE 2006//PRESIDENT AND CEO OF CARROLL ENTERPRISES 5) FRC REALTY IS OWNED BY CARROLL ENTERPRISES FOR 0HRS/WK SINCE 1/2011//DIRECT RESPONSE MARKETING PRESIDENT AND CEO OF CARROLL ENTERPRISES FOR 0HRS/WK SINCE 1/1999// 6) CARROLL SECURITIES PRESIDENT AND CEO OF CARROLL ENTERPRISES FOR 0HR/WK SINCE 1/2011 7) NAME OF OTHER BUSINESS: SMALL BUSINESS INSURANCE ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NON-SECURITIES RELATED INSURANCE ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; START DATE: 09/2019 ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: NON-SECURITIES RELATED INSURANCE PRODUCTS SUCH AS GENERAL LIFE AND P&C. NO VARIABLE ANNUITIES ; 8) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES: INDEPENDENT INSURANCE AGENT DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, PROPERTY & CASUALTY FOR 10HRS, TRADING HOURS: VARIES/WK SINCE 1985. 9)NAME OF OTHER BUSINESS: RANDAL WHARF CONDOMINIUM ASSOCIATION, INVESTMENT RELATED: NO, ADDRESS: 8 WATER STREET, GROTON, CT 06355, NATURE OF BUSINESS: HOA, START DATE:11/2023, POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OVERSEE BUILDING MAINTENANCE; 10) NAME OF OTHER BUSINESS: DBA PIVOTAI, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: AI TECHNOLOGY SOLUTIONS, START DATE: 07/2020, POSITION/TITLE/RELATIONSHIP: OWNER/CEO, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: OVERSEE STRATEGIC DEPLOYMENT OF AI SOFTWARE SOLUTIONS, 11) NAME OF OTHER BUSINESS: SBIA WEALTH; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: 5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S63 Uniform Securities Agent State Law Examination
  1986-05-23

Designations