James B. Carroll

BALLAST ROCK PRIVATE WEALTH

Charleston, SC 29403

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CRD#: 1186198

Professional summary

James Bernard Carroll is a registered financial advisor currently at BALLAST ROCK PRIVATE WEALTH located in Charleston, South Carolina.

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 65, Series 63, Series 7 and Series 24 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 Bernard 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

March 24, 2024 - Present

BALLAST ROCK PRIVATE WEALTH

Office #1: 460 King Street Suite 200, Charleston, SC 29403

RIA

CRD#: 322064

Charleston, SC

Past

September 12, 2023 - March 20, 2024

BALLAST ROCK PRIVATE WEALTH

RIA

CRD#: 322064

Johns Island, SC

Past

July 15, 2023 - September 6, 2023

TIDAL INVESTMENTS LLC

RIA

CRD#: 164201

MILWAUKEE, WI

Past

August 16, 2011 - August 2, 2019

LONGRUN CAPITAL MANAGEMENT LLC

RIA

CRD#: 127632

TUCKAHOE, NY

Past

November 29, 1994 - June 2, 1999

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 25, 1989 - September 28, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 24, 1989 - March 10, 1989

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

December 21, 1983 - August 5, 1986

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

BALLAST ROCK PRIVATE WEALTH

BALLAST ROCK PRIVATE WEALTH | BALLAST ROCK PRIVATE WEALTH LLC

CRD#: 322064 / SEC#: 801-129645

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

South Carolina

Registered Investment Advisory firm - (3/20/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/20/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

South Carolina
(3/24/2024)

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

IAR

Series 65

Date: 7/15/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/13/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/1995

General Securities Principal Examination

Current Firm

BALLAST ROCK PRIVATE WEALTH

BALLAST ROCK PRIVATE WEALTH | BALLAST ROCK PRIVATE WEALTH LLC

CRD#: 322064 / SEC#: 801-129645

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

South Carolina

Registered Investment Advisory firm - (3/20/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/20/2024 Terminated)

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Contact information

Main Address

460 King Street Suite 200, Charleston, SC 29403

Mailing Address

Phone number

(800) 204-2513

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 - BALLAST ROCK PRIVATE WEALTH LLC (3/14/2025)

Regulatory assets under management

Total Number of Accounts	528
AUM (Assets Under Management)	$ 238,200,333

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.

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Firm Stability Insights

James B. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BALLAST ROCK PRIVATE WEALTH

TIDAL INVESTMENTS LLC

LONGRUN CAPITAL MANAGEMENT LLC

J.P. MORGAN SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

KIDDER, PEABODY & CO. INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

BALLAST ROCK PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/2023

Series 63

Date: 1/13/1997

Series 7

Date: 1/21/1989

Series 24

Date: 2/28/1995

Current Firm

BALLAST ROCK PRIVATE WEALTH

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALLAST ROCK PRIVATE WEALTH

TRUST BUT VERIFY

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