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Caroline Newell Berlinghof

J.P. Morgan Securities LLC

Chicago, IL

CRD 6672652

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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
IL RA APPROVED 2023-11-14
TX RA APPROVED 2023-11-14
  • IL RA
    APPROVED
    Since 2023-11-14
  • TX RA
    APPROVED
    Since 2023-11-14

Branch Locations

10 S Dearborn St Floor 08, 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
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Chicago NY 07/2016 06/2019
J.P. Morgan Securities Llc New York NY 07/2016 06/2019
Unemployed South Bend IN 08/2015 07/2016
University Of Notre Dame Notre Dame IN 08/2012 05/2016
University Of Notre Dame Notre Dame IN 03/2015 05/2016
J.P. Morgan Securities Llc Chicago IL 07/2016 Present
Jpmorgan Securities Llc Chicago IL 07/2019 Present
  • 07/2016 → 06/2019
    J.P. Morgan Securities Llc
    Chicago, NY
  • 07/2016 → 06/2019
    J.P. Morgan Securities Llc
    New York, NY
  • 08/2015 → 07/2016
    Unemployed
    South Bend, IN
  • 08/2012 → 05/2016
    University Of Notre Dame
    Notre Dame, IN
  • 03/2015 → 05/2016
    University Of Notre Dame
    Notre Dame, IN
  • 07/2016 → Present
    J.P. Morgan Securities Llc
    Chicago, IL
  • 07/2019 → Present
    Jpmorgan Securities Llc
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-11-13
S63 Uniform Securities Agent State Law Examination 2016-09-26
  • S65 Uniform Investment Adviser Law Examination
    2023-11-13
  • S63 Uniform Securities Agent State Law Examination
    2016-09-26
Other Names
  • Caroline Newell
  • Caroline Maria Newell

View on SEC IAPD

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