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Current Employers
Ballast Rock Private Wealth

460 King Street Suite 200, Charleston, SC 29403 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2024-12-26
SC RA APPROVED 2024-11-12
TX RA APPROVED 2024-11-12
  • LA RA
    APPROVED
    Since 2024-12-26
  • SC RA
    APPROVED
    Since 2024-11-12
  • TX RA
    APPROVED
    Since 2024-11-12

Branch Locations

460 King Street Suite 200, Charleston, SC 29403 • United States

Monroe, LA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Inc. Monroe LA 09/2022 10/2024
John S Carroll, Cpa Columbia LA 01/2015 11/2019
Best Home Health West Monroe LA 11/2019 04/2022
Unemployed Monroe LA 04/2022 09/2022
Bank Of America N.A. Monroe LA 11/2022 10/2024
Ballast Rock Private Wealth Charleston SC 10/2024 Present
  • 09/2022 → 10/2024
    Merrill Lynch, Pierce, Fenner & Smith Inc.
    Monroe, LA
  • 01/2015 → 11/2019
    John S Carroll, Cpa
    Columbia, LA
  • 11/2019 → 04/2022
    Best Home Health
    West Monroe, LA
  • 04/2022 → 09/2022
    Unemployed
    Monroe, LA
  • 11/2022 → 10/2024
    Bank Of America N.A.
    Monroe, LA
  • 10/2024 → Present
    Charleston, SC
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-06
  • S66 Uniform Combined State Law Examination
    2023-03-06
Other Names
  • Jamie Kivioja

View on SEC IAPD

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