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CK

Caroline R. Kenlon

Some features on this profile are disabled
CRD#: 7306336
CK

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.

Caroline Rose Kenlon, who also goes by Caroline R Kenlon, Caroline Kenlon, was a registered financial professional .

Caroline is a previously registered financial professional and started their career in finance in 2020. Caroline had worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Caroline R Kenlon | Caroline Kenlon

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
the name of the other business: Masterworks, LLC whether the business is investment-related: Yes the address of the other business: 225 Liberty St Floor 29, New York, NY 10007 the nature of the other business: Alternative investment platform your position: employee title, or relationship with the other business: Masterworks Platform Associate the start date of your relationship: September 2023 the approximate number of hours/month you devote to the other business: 5 hours per week the number of hours you devote to the other business during securities trading hours: 5 hours per week and briefly describe your duties relating to the other business: perform defined administrative functions for the Masterworks Platform

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 23, 2023 - July 7, 2025

MASTERWORKS ADVISERS, LLC

RIA
CRD#: 324239
NEW YORK, NY
Past

April 6, 2022 - March 8, 2023

ARETE WEALTH MANAGEMENT, LLC

BD
CRD#: 44856
New York, NY
Past

April 5, 2022 - June 29, 2023

ARETE WEALTH ADVISORS, LLC

RIA
CRD#: 145488
New York, NY
Past

June 11, 2021 - April 10, 2022

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
NEW YORK, NY
Past

June 11, 2021 - April 10, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

February 2, 2021 - April 29, 2021

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WOODBURY, NY
Past

December 15, 2020 - April 29, 2021

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WOODBURY, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MASTERWORKS ADVISERS, LLC
MASTERWORKS ADVISERS, LLC

CRD#: 324239 / SEC#: 801-127158

RIA
Registered Investment Advisory firm - (9/7/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/25/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/15/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/5/2020
Securities Industry Essentials Examination

Current Firm

MA
MASTERWORKS ADVISERS, LLC
MASTERWORKS ADVISERS, LLC

CRD#: 324239 / SEC#: 801-127158

RIA
Registered Investment Advisory firm - (9/7/2023 Approved)
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Contact information

Main Address
1 World Trade 57th Floor, New York, NY 10007
Mailing Address
Phone number
(203) 518-5172
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MASTERWORKS ADVISERS FORM ADV PART 2A SEPTEMBER 19,2025 (9/19/2025)

Regulatory assets under management

Total Number of Accounts625
AUM (Assets Under Management)$ 1,983,059

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.

Company Information

MASTERWORKS ADVISERS, LLC

CRD#: 324239

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