Thomas E. 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 professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Eldredge Carroll-connell's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 14, 2023 - Present
BALLAST ROCK CAPITAL LLC
Office #1: 460 King Street Suite 200, Charleston, SC 29403Office #2: 460 King Street Suite 200, Charleston, SC 29403August 2, 2018 - May 1, 2023
INDEPENDENT BROKERAGE SOLUTIONS LLC
August 7, 2017 - January 22, 2018
LIGHTHOUSE CAPITAL GROUP, LLC
November 20, 2007 - June 9, 2016
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/13/2023)
(7/20/2023)
(6/8/2023)
(7/11/2023)
(5/17/2023)
(6/1/2023)
(6/8/2023)
(9/12/2023)
(10/11/2023)
(7/6/2023)
(5/25/2023)
(8/23/2023)
(5/16/2023)
(9/15/2023)
(7/21/2023)
(5/1/2023)
(8/3/2023)
(5/16/2023)
(5/26/2023)
(7/6/2023)
(5/9/2023)
(7/7/2023)
(5/1/2023)
(8/9/2023)
(5/16/2023)
(12/5/2023)
(5/15/2023)
(6/20/2023)
(7/6/2023)
(8/24/2023)
(5/30/2023)
(11/1/2023)
(5/26/2023)
(6/2/2023)
(6/2/2023)
(8/10/2023)
(5/16/2023)
(5/26/2023)
(5/30/2023)
(6/6/2023)
(5/16/2023)
(5/16/2023)
(5/9/2023)
(8/10/2023)
(7/6/2023)
(5/1/2023)
(8/3/2023)
(7/24/2023)
(6/6/2023)
(7/20/2023)
(5/23/2023)
(7/10/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
BALLAST ROCK CAPITAL LLC
CRD#: 322170 / SEC#: , 8-70943
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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