Jonathan P. Carroll

CARROLL & COMPANY CAPITAL MANAGEMENT

Houston, TX 77002

Some features on this profile are disabled

CRD#: 1594175

Professional summary

Jonathan Pitts Carroll SR, who also goes by Jonathan Pitts Carroll, is a registered financial advisor currently at CARROLL & COMPANY CAPITAL MANAGEMENT located in Houston, Texas.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Jonathan has worked at 2 firms and has passed the Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan Pitts Carroll

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.

Lazarus Energy Holdings LLC Not Investment Related 801 Travis Street, Suite 2100 Houston, TX 77002 Oil and Gas-- Refining President Owner Start Date- 04/2006 160 hours per month Operate refinery and refining properties as the President

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Pitts Carroll SR's 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

December 19, 2023 - Present

CARROLL & COMPANY CAPITAL MANAGEMENT

Office #1: 801 Travis, Suite 2100 C, Houston, TX 77002

RIA

CRD#: 135185

Houston, TX

Past

March 19, 1987 - July 27, 1987

MANUFACTURERS HANOVER SECURITIES CORPORATION

CRD#: 14434

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

California
(12/19/2023)

IAR

Texas
(1/29/2024)

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

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/13/1989

Municipal Securities Principal Examination

Current Firm

CARROLL & COMPANY CAPITAL MANAGEMENT

CARROLL & COMPANY CAPITAL MANAGEMENT | CARROLL, JONATHAN PITTS

CRD#: 135185 / SEC#:

California

Registered Investment Advisory firm - (6/1/1990 Approved)

Texas

Registered Investment Advisory firm - (12/20/2005 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

801 Travis, Suite 2100 C, Houston, TX 77002

Mailing Address

Phone number

(713) 398-6695

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

James Marshall

MARSHALL WEALTH MANAGEMENT, LLC

IAR

SUGAR LAND, TX

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jonathan P. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Pitts Carroll SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARROLL & COMPANY CAPITAL MANAGEMENT

MANUFACTURERS HANOVER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 7

Date: 11/15/1986

Series 53

Date: 11/13/1989

Current Firm

CARROLL & COMPANY CAPITAL MANAGEMENT

Contact information

Documents

Red Flags

Company Information

CARROLL & COMPANY CAPITAL MANAGEMENT

TRUST BUT VERIFY

Similar Advisors