Caitlin Barry Finley

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2002 → Present
  Jpmorgan Chase Bank, N.A.
  Greenwich, CT
• 01/2008 → Present
  J.P. Morgan Securities Llc
  Greenwich, CT

Other Businesses

Entity Name: SurfRidge Brewing Co Investment related: N "Address: SURFRIDGE BREWING COMPANY, LLC 137 Nevada St. El Segundo, CA 90245 www.surfridgebrewery.com" Nature of the other business: Brewery Position/Title/Relationship: Owner/Partner Start Date: 12/10/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: SurfRidge Brewery is a craft beer, brewery, and restaurant company. They have one location in El Segundo, CA and are opening a second location in Essex, CT. My spouse and I will be investors in the company. We have no responsibilities nor is there any JPMC connection that I am involved in.

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-02-23
• S63 Uniform Securities Agent State Law Examination
  2008-02-11

Other Names

• Caitlin Barry
• Caitlin Barry Finley