AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JC

James G. Carroll

BROWN BROTHERS HARRIMAN INVESTMENTS
New York, NY 10005
Some features on this profile are disabled
CRD#: 2457658
JC

Professional summary

James G Carroll is a registered financial professional currently at BROWN BROTHERS HARRIMAN INVESTMENTS, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view James G 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

August 29, 2016 - Present

BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

Office #1: 140 Broadway, New York, NY 10005
BD
CRD#: 282732
New York, NY
Past

May 6, 2013 - June 12, 2017

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
NEW YORK, NY
Past

August 7, 2003 - February 22, 2013

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
NEWARK, NJ
Past

July 28, 2003 - September 13, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 11, 2001 - February 22, 2013

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

November 29, 2001 - February 22, 2013

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

August 30, 2001 - July 16, 2007

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/5/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/11/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/12/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/14/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/29/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/15/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/13/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/24/2001
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BB
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

CRD#: 282732 / SEC#: , 8-69731

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
140 Broadway, New York, NY 10005-1108
Mailing Address
140 Broadway, New York, NY 10005-1108
Phone number
(212) 483-1818
Established
Delaware since 11/09/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BROWN BROTHERS HARRIMAN & CO.SOLE MEMBER
GREIFENKAMP, DANIEL JOSEPHCEO, CHAIRMAN OF THE BOARD2180478
HUTSON, JOSHUA EYARECCO2912952
KRUCZEK, ROBERT PATRICKDIRECTOR2389311
MESKIN, JEFFREY BRYANDIRECTOR2855280
PUSTORINO, PAUL JAMESPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER5059093
SCHOENFELD, JEFFREY ALANDIRECTOR2490214

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.

Company Information

BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

CRD#: 282732New York, NY 10005

TRUST BUT VERIFY

Monitor James Carroll

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics