Tracey Caldwell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tracey Caldwell, who also goes by Tracey Greenstein Caldwell, Tracey L Caldwell, Tracey Lynn Caldwell, Tracey Greenstein, was a registered financial professional .
Tracey is a previously registered financial professional and started their career in finance in 1983. Tracey had worked at 11 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - February 3, 2020
J.P. MORGAN SECURITIES LLC
September 25, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 8, 2009 - October 29, 2010
CHASE INVESTMENT SERVICES CORP.
February 25, 1998 - May 15, 1998
FIXED INCOME SECURITIES, INC.
February 21, 1994 - July 18, 1994
CHARLES SCHWAB & CO., INC.
March 3, 1992 - July 15, 1992
CHARLES SCHWAB & CO., INC.
March 29, 1990 - November 12, 1991
SUNAMERICA SECURITIES, INC.
January 11, 1989 - February 27, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 1, 1987 - January 6, 1988
CITIGROUP GLOBAL MARKETS INC.
July 17, 1986 - February 11, 1987
TRUIST INVESTMENT SERVICES, INC.
December 4, 1984 - December 26, 1984
EASTERN CAPITAL SECURITIES, INC.
April 9, 1984 - December 27, 1984
UBS FINANCIAL SERVICES INC.
October 19, 1983 - March 27, 1984
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
