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James Leo Carlisle

Rbc Capital Markets, LLC

Providence, RI

Attleboro, MA

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-01-31
RI RA APPROVED 2022-12-14
  • TX RA
    APPROVED
    Since 2024-01-31
  • RI RA
    APPROVED
    Since 2022-12-14

Branch Locations

500 Exchange Street Suite 1102, Providence, RI 02903-2637 • United States

Attleboro, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Providence RI 10/2015 11/2016
Wells Fargo Clearing Services, Llc Providence RI 11/2016 06/2017
State Street Bank And Trust Boston MA 06/2017 08/2021
State Street Global Markets, Llc Boston MA 06/2017 08/2021
Rbc Capital Markets, Llc Providence RI 08/2021 Present
  • 10/2015 → 11/2016
    Wells Fargo Advisors Llc
    Providence, RI
  • 11/2016 → 06/2017
    Wells Fargo Clearing Services, Llc
    Providence, RI
  • 06/2017 → 08/2021
    State Street Bank And Trust
    Boston, MA
  • 06/2017 → 08/2021
    State Street Global Markets, Llc
    Boston, MA
  • 08/2021 → Present
    Rbc Capital Markets, Llc
    Providence, RI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-12-14
  • S66 Uniform Combined State Law Examination
    2022-12-14
Other Names
  • James Leo Carlisle
  • James Leo Carlisle

View on SEC IAPD

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Other Offices

PARSONS CAPITAL MANAGEMENT INC · PROVIDENCE, RI
PARSONS CAPITAL MANAGEMENT INC · PROVIDENCE, RI
ERNST & YOUNG INVESTMENT ADVISERS LLP · PROVIDENCE, RI
BLUE FIN CAPITAL, INC. · PROVIDENCE, RI
WASHINGTON TRUST ADVISORS · Providence, RI
WASHINGTON TRUST ADVISORS · Providence, RI
STIFEL, NICOLAUS & COMPANY, INCORPORATED · PROVIDENCE, RI
BARRETT & COMPANY · PROVIDENCE, RI

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