Caroline Baumgart is an investment adviser representative (IAR) with state registration records since 2004, appearing at 4 firms. Currently registered with J.P. MORGAN SECURITIES LLC.
| Firm | From | To | Current |
|---|---|---|---|
| J.P. MORGAN SECURITIES LLC | 2025-10-14 | present | Yes |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2024-09-30 | 2025-09-16 | — |
| MACKAY SHIELDS LLC | 2006-01-31 | 2007-11-26 | — |
| NEW YORK LIFE INVESTMENT MANAGEMENT LLC | 2004-09-01 | 2005-09-28 | — |