Jonathan Carroll

2 Years of Experience

Houston, TX

1 Disclosure

Jonathan Carroll is a registered investment advisor at Carroll & Company Capital Management, based in Houston, TX, with 2 years of industry experience. Jonathan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning.

Carroll & Company Capital Management

Compensation

N/A

Firm Size

1 advisor

Number of Clients

Not specified

Average Client Portfolio

Not specified

Fee Structure

Investment management only (planning not offered)

Carroll & Company Capital Management does not currently manage investments directly. They coordinate asset management with third-party managers.

View Full SEC Brochure

Location

801 Travis, Suite 2100 C, Houston, TX, 77002

Get directions

History

Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Regulatory

February 2003

Final

View Full SEC Report How to Read Disclosures

Other Business Activities

Jonathan is the President and Owner of Lazarus Energy Holdings LLC, an oil and gas refining company, since 2006. He dedicates full-time hours to operating the refinery and refining properties.

Employment History

Current Registrations

Carroll & Company Capital Management

December 2023 - Present · 2 yrs 5 mos

Previous Registrations

Manufacturers Hanover Securities CorporationBroker

March 1987 - July 1987 · 4 mos

State Registrations2 states

CATX

Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams

No exam information available for this advisor.

More financial advisors in Houston, TX →All financial advisors in Texas →