James Carroll, financial advisor Grosse Pointe Farms MI
96 score

James Carroll

CRD Number: 1107197
Current Firm: Pointe Capital Management LLC

James Carroll (CRD# 1107197) is an Investment Advisor Representative working at Pointe Capital Management LLC in Grosse Pointe Farms, MI and has over 33 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Pointe Capital Management, LLC Grosse Pointe Farms, MI Jan 2014 - Current 2
Loomis Sayles Distributors, LP Boston, MA Sep 1997 - Sep 2013 16
Loomis Sayles Distributors, LP Boston, MA Sep 1997 - Sep 2013 16
Loomis, Sayles & Company, LP Bloomfield Hills, MI Jun 1996 - Sep 2013 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1983
Contact Info for James L. Carroll
Phone Number: (313) 882-7100
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    210
    MILLIONS
  • Total Number of Accounts
    357
    ACCOUNTS
  • Average Account Value
    $587,427
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Other
Types of Clients
Registered States

CA, FL, MI, NY, TX

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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