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Caroline Baldwin

J.P. Morgan Securities LLC

New York, NY

CRD 7593934

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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
NY RA APPROVED 2022-11-21
TX RA APPROVED 2022-11-21
  • NY RA
    APPROVED
    Since 2022-11-21
  • TX RA
    APPROVED
    Since 2022-11-21

Branch Locations

270 Park Avenue 22Nd And 23Rd Floors, 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
Jpmorgan Chase Bank, Na New York NY 07/2022 Present
Jpmorgan Securities Llc New York NY 07/2022 Present
Jpmorgan Chase Bank, Na New York NY 06/2021 08/2021
Club Pilates Charlottesville VA 01/2022 02/2022
Shenorock Shore Club Rye NY 03/2018 09/2019
University Of Virginia Charlottesville VA 08/2018 05/2022
Unemployed Rye NY 07/2012 03/2018
Unemployed Rye NY 06/2022 06/2022
  • 07/2022 → Present
    Jpmorgan Chase Bank, Na
    New York, NY
  • 07/2022 → Present
    Jpmorgan Securities Llc
    New York, NY
  • 06/2021 → 08/2021
    Jpmorgan Chase Bank, Na
    New York, NY
  • 01/2022 → 02/2022
    Club Pilates
    Charlottesville, VA
  • 03/2018 → 09/2019
    Shenorock Shore Club
    Rye, NY
  • 08/2018 → 05/2022
    University Of Virginia
    Charlottesville, VA
  • 07/2012 → 03/2018
    Unemployed
    Rye, NY
  • 06/2022 → 06/2022
    Unemployed
    Rye, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-19
  • S66 Uniform Combined State Law Examination
    2022-11-19
Other Names
  • Caroline Baldwin
  • Caroline Carlisle Baldwin

View on SEC IAPD

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