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CS

Carrie C. Schneidman

BALLAST ROCK CAPITAL LLC
Charleston, SC 29403
Some features on this profile are disabled
CRD#: 3137950
CS

Professional summary

Carrie C Schneidman, who also goes by Carrie Christine Schneidman, Schneidman, is a registered financial professional currently at BALLAST ROCK CAPITAL LLC located in Charleston, South Carolina.

Carrie is registered as a RR (Registered Representative) and started their career in finance in 2005. Carrie has worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carrie Christine Schneidman | Schneidman

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 Carrie C Schneidman'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 16, 2026 - Present

BALLAST ROCK CAPITAL LLC

Office #1: 460 King Street Suite 200, Charleston, SC 29403
BD
CRD#: 322170
Charleston, SC
Past

January 7, 2025 - February 17, 2026

SPEEDTRADER, INC

BD
CRD#: 107403
KATONAH, NY
Past

August 25, 2021 - September 20, 2024

FINALIS SECURITIES LLC

BD
CRD#: 305908
Delray Beach, FL
Past

November 18, 2020 - August 20, 2021

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
CLAYMONT, DE
Past

April 23, 2019 - December 31, 2019

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

April 23, 2019 - November 23, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST PETERSBURG, FL
Past

March 28, 2017 - April 11, 2019

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
BOCA RATON, FL
Past

March 20, 2017 - April 11, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

December 11, 2012 - March 8, 2017

NETWORK 1 FINANCIAL SECURITIES INC.

BD
CRD#: 13577
SYOSSET, NY
Past

August 11, 2009 - December 7, 2012

OBSIDIAN FINANCIAL GROUP, LLC

BD
CRD#: 104255
WOODBURY, NY
Past

January 8, 2009 - August 14, 2009

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

January 4, 2006 - December 22, 2008

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
UNIONDALE, NY
Past

October 26, 2005 - January 24, 2006

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

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
Florida
(2/16/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/2005
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: 8/9/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/15/2019
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/7/2019
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/11/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

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)
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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
# of Employees

FINRA licenses (52 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#
BALLAST ROCK HOLDINGS LLCDIRECT OWNER
AZARY, DENNIS MICHAELCO-CCO2384263
CARROLL-CONNELL, THOMAS ELDREDGECEO4992661
ONESTO, RICHARD ERNESTFINOP2453096

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

BALLAST ROCK CAPITAL LLC

CRD#: 322170Charleston, SC 29403

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