JC
Jamie E. Carroll
BALLAST ROCK PRIVATE WEALTH
Monroe, LA
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CRD#: 7635355
JC
Professional summary
Jamie E Carroll, who also goes by Jamie Kivioja, is a registered financial advisor currently at BALLAST ROCK PRIVATE WEALTH located in Monroe, Louisiana.
Jamie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Jamie has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jamie Kivioja
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.
Name of the other businessSwamp Rabbit Print, LLC Whether the business is investment-relatedNo Address of the other business403 Church St. Columbia, LA 71418 Nature of the other businessDesigns and Print Services Your positionOwner Title, or relationship with the other businessOwner Start date of your relationship1/2016 Approximate number of hours/month you devote to the other business10 hrs. a month Number of hours you devote/month to the other business during securities trading hoursnone Briefly describe your duties relating to the other businessBookkeeper Name of the other businessArbonne International Whether the business is investment-relatedNo Address of the other business9400 Jeronimo Rd. Irvine, CA 92618 Nature of the other businessHealth and wellness sales Your positionIndependent consultant Title, or relationship with the other businessIC Start date of your relationship10/2015 Approximate number of hours/month you devote to the other business40 hrs a month Number of hours you devote/month to the other business during securities trading hoursnone Briefly describe your duties relating to the other businessRecommend health and wellness products to clients and prospects
CRS (Client Relationship Summary) - RIA
Click below to view Jamie E 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®
NoneExperience
Current
November 12, 2024 - Present
BALLAST ROCK PRIVATE WEALTH
RIA
CRD#: 322064
Monroe, LA
Past
March 10, 2023 - October 22, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MONROE, LA
Past
January 1, 2023 - October 22, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MONROE, LA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BR
BALLAST ROCK PRIVATE WEALTH
BALLAST ROCK PRIVATE WEALTH | BALLAST ROCK PRIVATE WEALTH LLC
CRD#: 322064 / SEC#: 801-129645
RIA
Registered Investment Advisory firm - (3/8/2024 Approved)South Carolina
Registered Investment Advisory firm - (3/20/2024 Terminated)Texas
Registered Investment Advisory firm - (3/20/2024 Terminated)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
Louisiana(12/26/2024)
IAR
South Carolina(11/12/2024)
IAR
Texas(11/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/30/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
BR
BALLAST ROCK PRIVATE WEALTH
BALLAST ROCK PRIVATE WEALTH | BALLAST ROCK PRIVATE WEALTH LLC
CRD#: 322064 / SEC#: 801-129645
RIA
Registered Investment Advisory firm - (3/8/2024 Approved)South Carolina
Registered Investment Advisory firm - (3/20/2024 Terminated)Texas
Registered Investment Advisory firm - (3/20/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
460 King Street Suite 200, Charleston, SC 29403
Mailing Address
Phone number
(800) 204-2513
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 528 |
| AUM (Assets Under Management) | $ 238,200,333 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
