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Alec Carroll

J.P. Morgan Securities LLC

New York, NY

CRD 7408060

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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:

Current Employers
J.P. Morgan Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-11-16
NY RA APPROVED 2021-09-27
  • TX RA
    APPROVED
    Since 2022-11-16
  • NY RA
    APPROVED
    Since 2021-09-27

Branch Locations

270 Park Avenue Floors 24 And 25, New York, NY 10017 • 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
J.P. Morgan Securities Llc New York NY 07/2021 Present
Jpmorgan Chase Bank, N.A. New York NY 07/2021 Present
Northwestern University Evanston IL 09/2018 06/2021
Northwestern University Evanston IL 09/2017 06/2021
Graham Capital Management Lp Rowayton CT 06/2019 08/2019
J2 Global New York NY 06/2018 09/2018
Rmb Capital Management Llc Lake Forest IL 07/2020 08/2020
Unemployed Scarsdale NY 06/2011 08/2017
  • 07/2021 → Present
    J.P. Morgan Securities Llc
    New York, NY
  • 07/2021 → Present
    Jpmorgan Chase Bank, N.A.
    New York, NY
  • 09/2018 → 06/2021
    Northwestern University
    Evanston, IL
  • 09/2017 → 06/2021
    Northwestern University
    Evanston, IL
  • 06/2019 → 08/2019
    Graham Capital Management Lp
    Rowayton, CT
  • 06/2018 → 09/2018
    J2 Global
    New York, NY
  • 07/2020 → 08/2020
    Rmb Capital Management Llc
    Lake Forest, IL
  • 06/2011 → 08/2017
    Unemployed
    Scarsdale, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-09-27
  • S66 Uniform Combined State Law Examination
    2021-09-27
Other Names
  • Alec Morrie Carroll

View on SEC IAPD

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