Thomas Eldredge Carroll-connell
Professional Summary
Thomas Eldredge Carroll-connell, who also goes by Thomas E Carroll, Thomas Carroll, Tom Carroll, Thomas E Carroll-connell, is a registered financial advisor currently at BALLAST ROCK CAPITAL LLC located in Charleston, South Carolina. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas E Carroll, Thomas Carroll, Tom Carroll, Thomas E Carroll-Connell
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
BALLAST ROCK CAPITAL LLC
Contact Information
Main Address
460 King Street Suite 200, Charleston, SC 29403Mailing Address
460 King Street Suite 200, Charleston, SC 29403Phone Number
(516) 998-5322Established
Delaware since 05/05/2022Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Eldredge Carroll-connell's CRS (Customer Relationship Summary).
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