James Carroll has been an investment adviser representative at Pointe Capital Management since February 2014, and is not listed among the firm’s executive officers or direct owners. James Carroll holds an MBA with a concentration in Corporate Finance from Wayne State University and a B.S. with a concentration in Economics from Wayne State University.
Pointe Capital Management LLC is a Grosse Pointe Farms, MI firm with $452M under management, 188 clients and 5 advisers in one office, as of its March 2026 filing.
James L. Carroll is Managing Director, Senior Portfolio Manager of Pointe Capital Management. He joined the firm in 2014 after seventeen years at Loomis Sayles, where he co-managed a large-cap strategy and an energy hedge fund. He also worked with Paine Webber / Rotan Mosle as a Managing Director and Senior Energy Research Team Leader.
James Carroll’s longest registration is the current one, 12 years at Pointe Capital Management since 2014. Before joining Pointe Capital Management in 2014, James Carroll was registered through Loomis, Sayles & Company, L.P.
- – present · 12 yearsGrosse Pointe Farms, MI · Adviser representative · Firm CRD 152520
- Loomis, Sayles & Company, L.P.– · 3 yearsBoston, MA · Adviser representative · Firm CRD 105377
Professional designations
Listed by Pointe Capital Management
- Chartered Financial Analyst (CFA®)
Investment adviser representative registrations
James Carroll is registered as an investment adviser representative in Michigan, since February 2014.
- MichiganSince 11 February 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 25 May 1983 |
| Series 7 | General Securities Representative Examination | 21 May 1983 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Lawrence Carroll
- CRD
- 1107197
- Firm
- Pointe Capital Management · CRD 152520
- Office
- 102 KERCHEVAL AVENUE, SUITE 200, Grosse Pointe Farms, MI 48236
- Registration
- Investment adviser registration
- In the industry since
- July 2010
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- pointecapitalmanagement.com
Where does James Carroll work?
James Carroll is an investment adviser representative registered through Pointe Capital Management LLC since February 2014, and is not listed among the firm’s executive officers or direct owners.
Is James Carroll a financial advisor?
Yes. James Carroll has a current investment-adviser registration in Michigan, through Pointe Capital Management since February 2014.
How many years of experience does James Carroll have?
James Carroll has 16 years in the financial industry, since July 2010, across 2 adviser firms.
What exams has James Carroll passed?
James Carroll has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in May 1983.
Where did James Carroll work before Pointe Capital Management?
Before Pointe Capital Management, James Carroll was registered through Loomis, Sayles & Company, L.P., February 2010 to October 2013.
Where is James Carroll based?
James Carroll’s registered office is in Grosse Pointe Farms, MI.
Is James Carroll registered with FINRA?
No. James Carroll has no current broker registration.
Is James Carroll a CFA charterholder?
Pointe Capital Management lists James Carroll with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
Source: James L. Carroll, CFA biography, pointecapitalmanagement.com
How can I verify James Carroll’s record?
Search CRD 1107197 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Carroll’s full registration record.
