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James Bernard Carroll

Ballast Rock Private Wealth

Charleston, SC

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Current Employers
Ballast Rock Private Wealth

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2024-03-24
  • SC RA
    APPROVED
    Since 2024-03-24

Branch Locations

460 King Street Suite 200, Charleston, SC 29403 • 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
Longurn Capital Management Bronxville NY 09/2003 10/2019
Toroso Investments, Llc Milwaukee WI 10/2019 08/2023
Ballast Rock Private Wealth Charleston SC 09/2023 Present
  • 09/2003 → 10/2019
    Longurn Capital Management
    Bronxville, NY
  • 10/2019 → 08/2023
    Toroso Investments, Llc
    Milwaukee, WI
  • 09/2023 → Present
    Ballast Rock Private Wealth
    Charleston, SC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-07-15
S63 Uniform Securities Agent State Law Examination 1997-01-13
  • S65 Uniform Investment Adviser Law Examination
    2023-07-15
  • S63 Uniform Securities Agent State Law Examination
    1997-01-13

View on SEC IAPD

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Christian Dan Salomone
TROY JOHN DAVIDSON
Jamie E Carroll
Brooke Meredith Courtney
DERRICK M GRAVA
JOHN KARL NAWROCKI
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MICHAEL M WILLIAMSON

Other Offices

PALMETTO ADVISORY · CHARLESTON, SC
CHARLESTON EQUITY PARTNERS, LLC · CHARLESTON, SC
EQUITABLE ADVISORS, LLC · CHARLESTON, SC
ADVISOR.COM · CHARLESTON, SC
TIME & WEALTH MANAGEMENT, LLC · CHARLESTON, SC
EDWARD JONES · CHARLESTON, SC
GREYSTAR INVESTMENT GROUP, LLC · CHARLESTON, SC
EDWARD JONES · CHARLESTON, SC

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