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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-03-16
PA RA APPROVED 2021-03-15
  • TX RA
    APPROVED_RES
    Since 2021-03-16
  • PA RA
    APPROVED
    Since 2021-03-15

Branch Locations

50 Rowes Wharf 4Th Floor, Boston, MA 02110 • United States

Haddon Heights, NJ • United States

1735 Market Street Suite 3110, Philadelphia, PA 19103 • 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
Morgan Stanley Smith Barney Philadelphia PA 03/2012 02/2021
Jpmorgan Securities Llc Philadelphia PA 03/2021 Present
Jpmorgan Chase Bank Na Philadelphia PA 03/2021 Present
  • 03/2012 → 02/2021
    Morgan Stanley Smith Barney
    Philadelphia, PA
  • 03/2021 → Present
    Jpmorgan Securities Llc
    Philadelphia, PA
  • 03/2021 → Present
    Jpmorgan Chase Bank Na
    Philadelphia, PA
Previous Registrations
Other Businesses

Effective 3/1/2021 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-27
S63 Uniform Securities Agent State Law Examination 2007-05-24
  • S66 Uniform Combined State Law Examination
    2008-03-27
  • S63 Uniform Securities Agent State Law Examination
    2007-05-24
Other Names
  • Tracy Ann Eckes
  • Tracy A Caruso
  • Tracy Ann Caruso

View on SEC IAPD

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