Mariana B. Connolly
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.
Mariana Bernunzo Connolly, CFA, who also goes by Mariana Bernunzo, was a registered financial professional .
Mariana is a previously registered financial professional and started their career in finance in 1997. Mariana had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2004 - December 8, 2020
J.P. MORGAN INVESTMENT MANAGEMENT INC.
February 2, 2004 - May 19, 2020
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
March 14, 2002 - January 8, 2004
BNY INVESTMENT CENTER INC.
January 20, 2000 - January 16, 2001
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
September 29, 1999 - January 28, 2000
JPMSI
December 24, 1997 - June 16, 1998
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
J.P. MORGAN INVESTMENT MANAGEMENT INC.
CRD#: 107038 / SEC#: 801-21011
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 INVESTMENT MANAGEMENT INC.
CRD#: 107038 / SEC#: 801-21011
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 114,499 |
| AUM (Assets Under Management) | $ 2,985,273,722,862 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 01/25/2024 | ||
| 01/27/2023 |
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.
