Caroline Baumgart
Investment adviser representative at J.P. Morgan Securities LLC
16 yearsExperience
2 statesRegistered in
$429.7BFirm assets
61 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
16 years in the industry.
- J.P. Morgan Securities LLCSep 2025 to now
- JPMorgan Chase Bank, N.A.Sep 2025 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 2022 to Sep 2025
- J CrewJun 2022 to Jul 2022
- UnemployedMar 2022 to May 2022
- AnthropologieJul 2021 to Sep 2021
- Athleta (part of Gap Inc)Jun 2021 to Feb 2022
- UnemployedAug 2019 to May 2021
- Nest Denver LLCMay 2010 to Jul 2019
Exams passed
- Series 63 · Uniform Securities Agent State Law1997
- Series 65 · Uniform Investment Adviser Law1997
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 2 states (CO, TX).
J.P. Morgan Securities LLC
$429.7BAssets managed
1,246,646Clients
14,320Advisers
61 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2830964
- Firm CRD
- 79