Cathryn Caldwell

CRD 2314710 · J.P. Morgan Securities LLC · Friendswood, TX

IA RegisteredBroker

Also appears in the source record as: Cathryn Caldwell Campbell; Cathryn Caldwell Holdgraf

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 24Series 66Series 65Series 63
Registered states (23): Arizona · Arkansas · California · Colorado · Connecticut · Florida · Georgia · Idaho · Illinois · Indiana · Louisiana · Maryland · Michigan · New Jersey · New Mexico · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · Tennessee · Texas · Washington
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (8)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Friendswood, TX · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Friendswood, TX · BC capacity

start not retrieved → present
Scottrade, Inc.
Houston, TX · BC capacity

Mar 15, 2004 → Sep 11, 2007
E*trade Advisory Services, Inc.
Clear Lake Shores, TX · IA capacity

Jul 29, 2002 → Jun 11, 2003
E*trade Securities LLC
Jersey City, NJ · BC capacity

Mar 11, 2002 → Jun 11, 2003
American General Securities Incorporated
Phoenix, AZ · BC capacity

Oct 20, 1999 → Jan 3, 2001
Dljdirect Inc.
Jersey City, NJ · BC capacity

Jul 28, 1997 → Feb 8, 1999
Smith Barney Inc.
New York, NY · BC capacity

Mar 3, 1997 → Jul 11, 1997

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2314710 ↗ FINRA BrokerCheck record for CRD 2314710 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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