Joseph CarusoCRD Number: 42340
Current Firm: Rbc Capital Markets, LLC
Joseph Caruso (CRD# 42340) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Westlake, OH and has over 40 years of experience in the finance industry.
Lpl Financial LLC
Independence Capital Company, Inc.
The Center For Eldercare Finance
|Rbc Capital Markets Corporation||Cleveland, OH||Mar 2009 - Current||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1982|
|S65||NASAA Investment Advisors Law Examination||Oct 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management201,164MILLIONS
Total Number of Accounts395,275ACCOUNTS
Average Account Value$508,922
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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