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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 2024-03-15
WI RA APPROVED 2024-03-15
  • TX RA
    APPROVED
    Since 2024-03-15
  • WI RA
    APPROVED
    Since 2024-03-15

Branch Locations

111 E Wisconsin Ave Floor 22, Milwaukee, WI 53202 • 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
Jp Morgan Securities Llc Milwaukee WI 07/2019 Present
Jp Morgan Chase Bank Milwaukee WI 07/2019 Present
Unemployed Milwaukee WI 06/2019 07/2019
University Of Wisconsin - Milwaukee Milwaukee WI 08/2018 05/2019
Jpmorgan Chase & Co. Milwaukee WI 05/2018 08/2018
University Of Wisconsin - Milwaukee Milwaukee WI 09/2016 05/2018
  • 07/2019 → Present
    Milwaukee, WI
  • 07/2019 → Present
    Jp Morgan Chase Bank
    Milwaukee, WI
  • 06/2019 → 07/2019
    Unemployed
    Milwaukee, WI
  • 08/2018 → 05/2019
    University Of Wisconsin - Milwaukee
    Milwaukee, WI
  • 05/2018 → 08/2018
    Jpmorgan Chase & Co.
    Milwaukee, WI
  • 09/2016 → 05/2018
    University Of Wisconsin - Milwaukee
    Milwaukee, WI
Other Businesses

Entity Name: Milwaukee Domes Alliance Investment related: Yes "Address: Website: https://milwaukeedomes.org/ Address: 53201) 524 S Layton Blvd, Milwaukee, WI 53215" Nature of the other business: Nonprofit Position/Title/Relationship: Board Member Start Date: 06/16/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: Milwaukee Domes Alliance is a private nonprofit 501(c)(3) established in 1989. We directly channel resources that make possible many of the educational and cultural programs held at the Mitchell Park Horticultural Conservatory. Our support complements, but is separate from the support provided by Milwaukee County. I will also serve on the investment committee, which is responsible for overseeing the Alliance's investment portfolio and periodically reviewing the alliance's investment policy."

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-03-15
S63 Uniform Securities Agent State Law Examination 2019-09-13
  • S65 Uniform Investment Adviser Law Examination
    2024-03-15
  • S63 Uniform Securities Agent State Law Examination
    2019-09-13
Other Names
  • Carter Harris Kauth

View on SEC IAPD

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