James B. Carroll

BLACK SWAN MANAGEMENT GROUP

Dallas, TX 75248

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CRD#: 5683655

Professional summary

James Bradley Carroll, who also goes by James Carroll, Brad Carroll, is a registered financial advisor currently at BLACK SWAN MANAGEMENT GROUP, INC. located in Dallas, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. James has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Carroll | Brad Carroll

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) - RIA

Click below to view James Bradley Carroll's 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 10, 2017 - Present

BLACK SWAN MANAGEMENT GROUP, INC.

Office #1: 15770 N. Dallas Parkway Suite 550, Dallas, TX 75248

RIA

CRD#: 112371

Dallas, TX

Past

January 15, 2014 - December 31, 2016

BLACK SWAN MANAGEMENT GROUP, INC.

RIA

CRD#: 112371

DALLAS, TX

Past

July 19, 2011 - December 31, 2013

BLACK SWAN MANAGEMENT GROUP, INC.

RIA

CRD#: 112371

DALLAS, TX

Past

June 24, 2010 - December 31, 2013

ONYX WEALTH ADVISORS, INC.

RIA

CRD#: 119558

DALLAS, TX

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(2/10/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/22/2010

Uniform Investment Adviser Law Examination

Current Firm

BLACK SWAN MANAGEMENT GROUP, INC.

BLACK SWAN MANAGEMENT GROUP, INC. | OMEGAONE ADVISORS, INC. | JAMES B CARROLL | EAGLE ADVISORS, INC.

CRD#: 112371 / SEC#: 801-57428

RIA

Registered Investment Advisory firm - (6/28/2001 Terminated)

Texas

Registered Investment Advisory firm - (2/10/2017 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

15770 N. Dallas Parkway Suite 550, Dallas, TX 75248

Mailing Address

Phone number

(214) 447-0262

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	456
AUM (Assets Under Management)	$ 97,845,325

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.

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James B. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Bradley Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACK SWAN MANAGEMENT GROUP, INC.

BLACK SWAN MANAGEMENT GROUP, INC.

BLACK SWAN MANAGEMENT GROUP, INC.

ONYX WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/2010

Current Firm

BLACK SWAN MANAGEMENT GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BLACK SWAN MANAGEMENT GROUP, INC.

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