Caroline Coen

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

• 10/2020 → 07/2023
  Deutsche Bank
  New York, NY
• 06/2019 → 08/2019
  Deutsche Bank
  New York, NY
• 09/2018 → 05/2019
  Btig
  Dallas, TX
• 07/2018 → 08/2018
  Caliber Collection
  Greenwich, CT
• 05/2017 → 08/2017
  Interbrand
  New York, NY
• 08/2016 → 05/2020
  Southern Methodist University
  Greenwich, CT
• 05/2020 → 10/2020
  Unemployed
  Greenwich, CT
• 07/2023 → Present
  J.P. Morgan Securities Llc
  New York, NY
• 07/2023 → Present
  Jpmorgan Chase Bank, N.A.
  New York, NY

Previous Registrations

• 2022-05-09 → 2023-07-11
  Deutsche Bank Securities Inc.
  New York, NY

Other Businesses

Entity Name: Highwind Impact Fund Investment related: No Address: https://highwindimpact.org/ https://www.linkedin.com/company/highwind-impact-fund/ Nature of the other business: Philanthropic Funding Position/Title/Relationship: Owner/Partner Start Date: 11/18/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Highwind Impact Fund's mission is to provide impactful project-based grants to grassroots nonprofits and to empower young professionals to utilize their skills, resources, and energy for meaningful philanthropic engagement. I would be joining as a member for a grant cycle that lasts from November to May and donating to the pool of funding for grants. There is no connection to JP Morgan Chase and my role is not similar to my role here. Entity Name: Gaia Software Investment related: No "Address: https://www.gaiak12.com/" Nature of the other business: Software Position/Title/Relationship: Owner/Partner Start Date: 10/21/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I am personally investing in the company via Play Money. Gaia connects school nutrition teams and foodservice brands in a shared ecosystem-compliant, flexible, and built for the real work of feeding kids. Gaia is dedicated to helping food nutrition teams work more efficiently-without disrupting routines-so they can focus on what matters most: providing nutritious, quality meals that keep students healthy and thriving. Entity Name: Concarlo Therapeutics Investment related: No Address: https://concarlo.com/ Nature of the other business: Medical Position/Title/Relationship: Owner/Partner Start Date: 10/18/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Concarlo Therapeutics is a preclinical-stage oncology company developing transformative therapeutics to target drug-resistant cancers. I am not holding any role, I am just investing in the company.

Exams

• S66 Uniform Combined State Law Examination
  2022-05-09

Other Names

• Caroline Elizabeth Coen