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MJ

Maxwell Jackson

BALLAST ROCK CAPITAL LLC
Charleston, SC 29403
Some features on this profile are disabled
CRD#: 6979850
MJ

Professional summary

Maxwell Jackson, who also goes by Maxwell Nye Jackson, is a registered financial professional currently at BALLAST ROCK CAPITAL LLC located in Charleston, South Carolina.

Maxwell is registered as a RR (Registered Representative) and started their career in finance in 2018. Maxwell has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maxwell Nye Jackson

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 Maxwell Jackson'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

May 15, 2025 - Present

BALLAST ROCK CAPITAL LLC

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

May 20, 2021 - March 21, 2025

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
San Francisco, CA
Past

September 16, 2019 - June 8, 2021

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
San Francisco, CA
Past

October 15, 2018 - August 16, 2019

MVP CAPITAL ADVISORS, LLC

BD
CRD#: 289481
San Francisco, CA

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
California
(5/15/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/19/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/15/2018
Investment Banking Registered 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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