Caroline Seaton Norcross

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

• 07/2016 → 06/2019
  J.P. Morgan Chase Bank Na
  Greenwich, CT
• 07/2016 → 06/2019
  J.P. Morgan Securities Llc
  Greenwich, CT
• 07/2019 → Present
  Jpmorgan Chase Bank, N.A.
  New York, NY
• 07/2019 → Present
  J.P. Morgan Securities Llc
  New York, NY

Other Businesses

Entity Name: Estate Planning Council of New York City Investment related: Yes Address: 230 Washington Avenue Extension, Suite 101, Albany, NY 12203 Nature of the other business: Nonprofit Position/Title/Relationship: Board Member Start Date: 03/22/2024 Approximate # of hours a week:: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: The organization is an interdisciplinary organization for professionals involved in estate planning. I will be a Director of Banking since I am a member of the financial services pillar of membership. In my role, I will be responsible for assisting with general oversight of the non-profit organization as well as interviewing and accepting new members into the organization.

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-01-29
• S63 Uniform Securities Agent State Law Examination
  2016-10-18

Other Names

• Caroline Seaton
• Caroline Emma Seaton