Patrick E. Carter
Professional summary
Patrick Eddie Carter, who also goes by Patrick Carter, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1988. Patrick has worked at 8 firms and has passed the Series 66, Series 6TO, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Eddie Carter's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2012 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 277 Park Ave, New York, NY 10172October 11, 2010 - August 20, 2012
FORESIDE FUND SERVICES, LLC
July 16, 2010 - September 24, 2010
ALPS DISTRIBUTORS, INC.
May 4, 2006 - July 14, 2010
DFA SECURITIES LLC
February 20, 2004 - March 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2003 - March 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 1990 - June 12, 1990
AELTUS CAPITAL, INC
June 23, 1988 - December 20, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
June 23, 1988 - December 20, 1989
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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