Caroline Marie O'BRien

J.P. Morgan Securities LLC

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Current Employers

J.P. Morgan Securities Llc

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

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2023-07-18
TX	RA	APPROVED	2023-07-18

IL RA
APPROVED

Since 2023-07-18
TX RA
APPROVED

Since 2023-07-18

Branch Locations

10 S Dearborn St Floor 09, Chicago, IL 60603 • 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

Organization	City	State	From	To
Jpmorgan Chase Bank Na	Chicago	IL	06/2020	Present
Jpmorgan Securities Llc	Chicago	IL	06/2020	Present
Jpmorgan Chase Bank Na	Chicago	IL	05/2019	08/2019
University Of Notre Dame	Notre Dame	IN	04/2017	01/2019
Stryker Corporation	Portage	MI	10/2017	12/2017
Happy State Bank	Lubbock	TX	06/2017	08/2017
University Of Notre Dame	Notre Dame	IN	08/2016	05/2020

06/2020 → Present

Jpmorgan Chase Bank Na

Chicago, IL
06/2020 → Present

Jpmorgan Securities Llc

Chicago, IL
05/2019 → 08/2019

Jpmorgan Chase Bank Na

Chicago, IL
04/2017 → 01/2019

University Of Notre Dame

Notre Dame, IN
10/2017 → 12/2017

Stryker Corporation

Portage, MI
06/2017 → 08/2017

Happy State Bank

Lubbock, TX
08/2016 → 05/2020

University Of Notre Dame

Notre Dame, IN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-07-18
S63	Uniform Securities Agent State Law Examination	2020-08-06

S65 Uniform Investment Adviser Law Examination

2023-07-18
S63 Uniform Securities Agent State Law Examination

2020-08-06

Other Names

Caroline Marie Van Kirk

View on SEC IAPD

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