Maureen K. Carr
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.
Maureen K Carr, who also goes by Maureen Kay Carr, Maureen K Halasz, Maureen Kay Halasz, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1996. Maureen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2013 - December 18, 2025
J.P. MORGAN SECURITIES LLC
December 10, 2013 - December 18, 2025
J.P. MORGAN SECURITIES LLC
February 25, 2011 - December 4, 2013
MORGAN STANLEY
February 22, 2011 - December 4, 2013
MORGAN STANLEY
July 9, 2008 - March 19, 2009
NATCITY INVESTMENTS, INC.
July 8, 2008 - March 19, 2009
NATCITY INVESTMENTS, INC.
July 2, 2007 - June 17, 2008
CHASE INVESTMENT SERVICES CORP.
June 19, 2007 - June 17, 2008
CHASE INVESTMENT SERVICES CORP.
February 22, 2005 - March 27, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 17, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 17, 2005 - March 27, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 6, 2000 - January 25, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 16, 1998 - May 14, 1999
KEY INVESTMENTS INC.
May 28, 1996 - July 24, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| 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 | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
