James L. Carroll

POINTE CAPITAL MANAGEMENT LLC

Grosse Pointe Farms, MI 48236

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CRD#: 1107197

Professional summary

James Lawrence Carroll is a registered financial advisor currently at POINTE CAPITAL MANAGEMENT LLC located in Grosse Pointe Farms, Michigan.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 6 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Carroll's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 11, 2014 - Present

POINTE CAPITAL MANAGEMENT LLC

Office #1: 102 Kercheval Avenue Suite 200, Grosse Pointe Farms, MI 48236

RIA

CRD#: 152520

Grosse Pointe Farms, MI

Past

February 22, 2010 - October 2, 2013

LOOMIS, SAYLES & COMPANY, L.P.

RIA

CRD#: 105377

BOSTON, MA

Past

May 19, 1998 - October 1, 2013

LOOMIS SAYLES DISTRIBUTORS, L.P.

CRD#: 41795

BLOOMFIELD HILLS, MI

Past

November 1, 1983 - July 1, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 28, 1983 - June 4, 1984

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

Past

May 25, 1983 - September 1, 1983

ROTAN MOSLE INC.

CRD#: 727

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

POINTE CAPITAL MANAGEMENT LLC

AFFINITY WEALTH SERVICES, LLC | POINTE CAPITAL MANAGEMENT LLC

CRD#: 152520 / SEC#: 801-70983

RIA

Registered Investment Advisory firm - (1/19/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(2/11/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Current Firm

POINTE CAPITAL MANAGEMENT LLC

AFFINITY WEALTH SERVICES, LLC | POINTE CAPITAL MANAGEMENT LLC

CRD#: 152520 / SEC#: 801-70983

RIA

Registered Investment Advisory firm - (1/19/2010 Approved)

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Contact information

Main Address

102 Kercheval Avenue Suite 200, Grosse Pointe Farms, MI 48236

Mailing Address

Phone number

(313) 882-7100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

POINTE CAPITAL MANAGEMENT ADV 2A MARCH 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	437
AUM (Assets Under Management)	$ 437,163,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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James L. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lawrence Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOOMIS, SAYLES & COMPANY, L.P.

LOOMIS SAYLES DISTRIBUTORS, L.P.

UBS FINANCIAL SERVICES INC.

UBS ASSET MANAGEMENT (US) INC.

ROTAN MOSLE INC.

Primary Firm SEC Registration

POINTE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/25/1983

Series 7

Date: 5/21/1983

Current Firm

POINTE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POINTE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Contact information

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