Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Caprio is an experienced financial professional with over 40 years of experience in the securities industry. Carolyn holds the Series 7, Series 55, and Series 63 licenses, as well as the SIE exam certification. Currently, Carolyn is a registered representative with J.p. Morgan Securities LLC. Prior to this, Carolyn worked at a variety of firms including Chase Investment Services Corp. , IVY Securities, Inc., BNY Brokerage Inc., Lynch, Jones & Ryan, Inc., and Deutsche Bank Capital Corporation. Carolyn is also registered in 24 states for securities brokerage, and specializes in providing financial services to individuals, corporations, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
10/01/2012 - Present
J.p. Morgan Securities LLC (Mineola NY)
NY
04/11/2007 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (GARDEN CITY NY)
NY
10/03/2005 - 03/06/2006
IVY SECURITIES, INC. (ROSLYN HEIGHTS NY)
NY
11/12/1998 - 04/06/2004
BNY BROKERAGE INC. (NEW YORK NY)
NY
04/23/1986 - 09/04/1998
LYNCH, JONES & RYAN, INC. (NEW YORK NY)
NA
07/19/1984 - 01/20/1986
DEUTSCHE BANK CAPITAL CORPORATION
NA
07/26/1982 - 11/28/1983
HANOVER SQUARE SECURITIES GROUP INC.
NA
03/06/1981 - 02/08/1983
PURCELL, GRAHAM & CO., INC.
NA
12/07/1979 - 02/23/1981
COLIN, HOCHSTIN CO.
NA
11/01/1978 - 11/30/1979
HAAS SECURITIES CORPORATION
BC
Issued 02/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/21/1978
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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