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Edward Anthony Mccabe

CRD# 1252538·Registered 1989 - 2023
Previously Registered: Being a previously registered professional could mean that Edward is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Edward Anthony Mccabe, who also goes by Ed Mccabe, was a registered financial advisor. Edward was a previously registered financial professional and started their career in finance 1989 - 2023. Edward had worked at 58 firms and has passed the Series 63, Series 62, Series 57TO, Series 79TO, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 53, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ed Mccabe

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

37 years in the financial services industry

Current & Past Employments

BALLAST ROCK CAPITAL LLC·CRD# 322170
BD
Charleston, SC
April 14, 2023 - September 20, 2023
COLLECTABLE SECURITIES·CRD# 315939
BD
New York, NY
March 9, 2023 - September 20, 2023
CRUSH SECURITIES LLC·CRD# 316407
BD
Half Moon Bay, CA
November 10, 2022 - September 20, 2023
VIENNA CAPITAL PARTNERS LLC·CRD# 311852
BD
New York, NY
November 3, 2022 - September 20, 2023
HARLEY CAPITAL LLC·CRD# 310046
BD
Westport, CT
October 21, 2021 - September 20, 2023
AVANZA CAPITAL MARKETS INC.·CRD# 103941
BD
New York, NY
October 14, 2020 - November 1, 2021
REDTAIL CAPITAL MARKETS, LLC·CRD# 169781
BD
West Bloomfield, MI
February 27, 2020 - April 16, 2020
MONMOUTH CAPITAL MANAGEMENT LLC·CRD# 290248
BD
Point Pleasant Beach, NJ
July 25, 2018 - August 17, 2018
EASTGATE SECURITIES, LLC·CRD# 146671
BD
New York, NY
June 23, 2018 - March 4, 2019
REPUBLIC PARTNERS, LLC·CRD# 281607
BD
Chicago, IL
January 3, 2017 - May 14, 2024
SECURITIES CLUB BROKER-DEALER, LLC·CRD# 284893
BD
Palm Beach, FL
November 8, 2016 - May 9, 2024
DAKOY CAPITAL MARKETS LLC·CRD# 169954
BD
New York, NY
June 1, 2016 - September 28, 2018
JAMIESON CORPORATE FINANCE US LLC·CRD# 170172
BD
New York, NY
November 2, 2015 - October 12, 2023
STATETRUST INVESTMENTS INC.·CRD# 104651
BD
Boca Raton, FL
September 1, 2015 - January 4, 2016
WNJ CAPITAL, INC.·CRD# 167903
BD
Philadelphia, PA
April 13, 2015 - April 27, 2015
GLOBAL ARENA CAPITAL CORP·CRD# 16871
BD
New York, NY
June 18, 2014 - August 11, 2014
FINANCO SECURITIES, LLC·CRD# 167221
BD
New York, NY
March 14, 2014 - June 24, 2021
THREADSTONE CAPITAL, LLC·CRD# 158691
BD
New York, NY
January 23, 2012 - March 31, 2015
TSC DISTRIBUTORS, LLC·CRD# 37058
BD
Boston, MA
December 19, 2011 - December 31, 2012
CFG CAPITAL MARKETS, LLC·CRD# 39468
BD
Baltimore, MD
October 3, 2011 - October 1, 2019
ARC SECURITIES, LLC·CRD# 38045
BD
Washington, DC
September 16, 2011 - May 1, 2012
MM GLOBAL SECURITIES, INC.·CRD# 2509
BD
Long Beach, NY
September 16, 2011 - July 26, 2016
AMERICAN TRUST INVESTMENT SERVICES, INC.·CRD# 3001
BD
San Clemente, CA
April 1, 2011 - April 30, 2019
DE GUARDIOLA ADVISORS, LLC·CRD# 104146
BD
West Palm Beach, FL
January 3, 2011 - July 8, 2019
SHARENETT SECURITIES LLC·CRD# 151011
BD
New York, NY
October 28, 2010 - September 30, 2019
TAYLOR FINANCIAL SERVICES, LLC·CRD# 111901
BD
Washington, DC
September 8, 2010 - August 9, 2013
AVANZA CAPITAL MARKETS INC.·CRD# 103941
BD
New York, NY
August 16, 2010 - November 8, 2016
GLOBAL OAK CAPITAL MARKETS LLC·CRD# 125860
BD
Charleston, SC
May 19, 2010 - September 29, 2011
INTERCOASTAL CAPITAL MARKETS, INC.·CRD# 83
BD
Boca Raton, FL
March 8, 2010 - January 16, 2013
MANORHAVEN CAPITAL LLC·CRD# 44965
BD
New York, NY
February 18, 2010 - March 3, 2023
CONSENSUS SECURITIES LLC·CRD# 144684
BD
Norwood, MA
December 3, 2009 - May 8, 2024
PRESTIGE FINANCIAL CENTER, INC.·CRD# 30407
BD
New York, NY
October 19, 2009 - November 17, 2009
ACADEMY SECURITIES, INC.·CRD# 17433
BD
Rosemont, IL
October 12, 2009 - August 1, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC·CRD# 144981
BD
New York, NY
August 21, 2009 - November 1, 2010
DRAKE STAR SECURITIES LLC·CRD# 131338
BD
West Palm Beach, FL
June 1, 2009 - September 7, 2023
J.W. KORTH & COMPANY·CRD# 26455
BD
Lansing, MI
March 26, 2009 - July 25, 2016
SIXPOINT PARTNERS LLC·CRD# 146067
BD
New York, NY
March 25, 2009 - July 29, 2019
GATE US LLC·CRD# 10863
BD
New York, NY
January 22, 2009 - July 13, 2015
FINSEC, LLC·CRD# 128592
BD
New York, NY
January 7, 2009 - June 9, 2014
FOX-DAVIES CAPITAL USA INC.·CRD# 146241
BD
London
January 5, 2009 - January 19, 2012
JESUP & LAMONT SECURITIES CORP·CRD# 39056
BD
New York, NY
November 21, 2008 - October 2, 2009
MCBARRON CAPITAL LLC·CRD# 131431
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Greenwich, CT
October 23, 2008 - February 9, 2009
GEORGE MCKELVEY CO., INC.·CRD# 2733
BD
Manasquan, NJ
September 23, 2008 - December 22, 2020
PRIVATE CONSULTING GROUP, INC.·CRD# 45053
BD
Portland, OR
September 15, 2008 - March 30, 2009
XNERGY FINANCIAL LLC·CRD# 144436
BD
Los Angeles, CA
May 27, 2008 - October 1, 2008
GLC SECURITIES CORP.·CRD# 38337
BD
New York, NY
May 29, 2002 - April 23, 2012
WYNSTON HILL CAPITAL, LLC·CRD# 103811
BD
Brandon, SD
July 14, 2000 - January 25, 2001
FINANCIAL NORTHEASTERN SECURITIES, LLC·CRD# 17007
BD
Fairfield, NJ
June 6, 2000 - May 6, 2002
ELECTRONIC SECURITIES PROCESSING (ESP) LLC·CRD# 103730
BD
New York, NY
April 24, 2000 - January 25, 2001
SOLID ISG CAPITAL MARKETS, LLC·CRD# 39375
BD
New York, NY
May 4, 1999 - May 11, 2000
NEW WORLD PARTNERS (A-SPH), LLC·CRD# 37712
BD
Hoboken, NJ
March 19, 1999 - October 1, 1999
APB FINANCIAL GROUP, LLC·CRD# 38235
BD
New York, NY
June 15, 1998 - March 25, 1999
DUKE & CO., INC.·CRD# 8035
BD
New York, NY
January 29, 1996 - March 26, 1998
BISYS SHELF B/D (1), INC.·CRD# 26501
BD
Boston, MA
February 19, 1993 - October 31, 1995
FTFD FUND DISTRIBUTOR, INC.·CRD# 22229
BD
Boston, MA
February 19, 1993 - November 2, 1995
BANCWEST INVESTMENT SERVICES, INC.·CRD# 29357
BD
Omaha, NE
February 18, 1993 - October 30, 1995
PROFUNDS DISTRIBUTORS, INC.·CRD# 19541
BD
Bethesda, MD
February 18, 1993 - October 31, 1995
BD COMPLIANCE SOLUTIONS, LLC·CRD# 30188
BD
Portland, ME
February 18, 1993 - October 31, 1995
ADLER COLEMAN & CO., INC.·CRD# 16104
BD
New York, NY
April 11, 1989 - June 1, 1992

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Current Firm

BR
BALLAST ROCK CAPITAL LLC

BALLAST ROCK CAPITAL LLC

CRD#: 322170 / SEC#: 8-70943
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Contact Information

Main Address

460 King Street Suite 200, Charleston, SC 29403

Mailing Address

460 King Street Suite 200, Charleston, SC 29403

Phone Number

(516) 998-5322

Established

Delaware since 05/05/2022

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BALLAST ROCK HOLDINGS LLCDIRECT OWNER—
AZARY, DENNIS MICHAELCO-CCO/FINOP2384263
CARROLL-CONNELL, THOMAS ELDREDGECEO4992661
SCHNEIDMAN, CARRIE CCO-CCO3137950

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1989About the Series 63 exam

Series 62 — Corporate Securities Limited Representative Examination

Passed Jan 2023

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 2000

Series 7 — General Securities Representative Examination

Passed Feb 1998About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 53 — Municipal Securities Principal Examination

Passed May 2001About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Mar 1998About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Apr 1989About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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