Susan M. Kalenowski
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.
Susan Mary Kalenowski, who also goes by Susan M Kalenowski, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1977. Susan had worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE and Series 7 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 - January 20, 2024
J.P. MORGAN SECURITIES LLC
October 1, 2012 - January 20, 2024
J.P. MORGAN SECURITIES LLC
March 23, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 9, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 12, 2005 - April 26, 2006
J. B. HANAUER & CO.
July 16, 2002 - March 31, 2004
MORGAN STANLEY DW INC.
October 16, 2000 - May 3, 2001
USCA SECURITIES LLC
March 30, 2000 - July 18, 2000
FINANCIAL CONSULTANT GROUP, LLC
February 2, 2000 - March 28, 2000
CETERA WEALTH SERVICES, LLC
September 14, 1995 - September 17, 1999
GMS GROUP
January 17, 1994 - September 1, 1995
CITIGROUP GLOBAL MARKETS INC.
August 15, 1988 - January 17, 1994
LEHMAN BROTHERS INC.
August 8, 1983 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
March 10, 1980 - July 25, 1983
HANAUER, STERN & COMPANY,INCORPORATED
March 30, 1977 - April 30, 1978
J. B. HANAUER & CO.
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
