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IG

Ian Garcia

BALLAST ROCK CAPITAL LLC
Charleston, SC 29403
Some features on this profile are disabled
CRD#: 5349405
IG

Professional summary

Ian Garcia is a registered financial professional currently at BALLAST ROCK CAPITAL LLC located in Charleston, South Carolina.

Ian is registered as a RR (Registered Representative) and started their career in finance in 2008. Ian has worked at 4 firms and has passed the Series 63, SIE and Series 7 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 Ian Garcia'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

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 29403
BD
CRD#: 322170
Charleston, SC
Past

August 3, 2018 - March 23, 2023

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
Charleston, SC
Past

October 12, 2009 - August 31, 2016

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

September 26, 2008 - January 27, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
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
Georgia
(5/25/2023)
RR
South Carolina
(5/16/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2008
General Securities Representative 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
CARROLL-CONNELL, THOMAS ELDREDGECCO/CEO4992661
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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