BC

Brian J Cotroneo

16 Years of Experience

Firm Information

Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
69 advisors
Number of Clients
4,509 clients
Average Client Portfolio
$686K average
Assets Under Management
$3.1B

Fee Structure

Minimum Investment:$50K
Financial Plan Fee:From $500

Moors & Cabot charges management fees based on either a flat percentage or a tiered fee rate schedule applied to the total account value. The specific fee is negotiable, with a minimum rate of 0.5% and a maximum of 1.5%, unless approved by senior management. They also offer financial planning services with fees typically exceeding $500, based on fixed or hourly rates negotiated with the advisor. Fees may be offset by commissions received from implementing planning recommendations.

Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningEducation PlanningInsurance Planning
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Advisor Information

Office location

999 Vanderbilt Beach Road, Suite 102, Naples, FL, 34108

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Brian is the registered agent for Cassie Cotroneo Photography, managing annual legal and tax reporting requirements. This activity requires minimal time and is not investment-related.

Employment History
Current Registrations
Moors & Cabot, INC.
September 2023 - Present · 2 yrs 4 mos
Moors & Cabot, INC. Broker
September 2023 - Present · 2 yrs 4 mos
Moors & Cabot, INC
July 2023 - Present · 2 yrs 6 mos
Previous Registrations
Aviance Capital Partners LLC
December 2020 - July 2023 · 2 yrs 7 mos
Harbor View Advisors, LLCBroker
August 2019 - May 2020 · 9 mos
Bofa Securities, INC. Broker
May 2019 - August 2019 · 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
September 2008 - May 2019 · 10 yrs 8 mos
State Registrations22 states
AZCACOCTFLGAIDILINMAMDMIMNMTNCNJNYOHORSCTXWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.