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James Vincent Carideo

Rbc Capital Markets, LLC

Cardiff, CA

La Jolla, CA

Los Angeles, CA

Rolling Hills, CA

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Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-03
TX RA APPROVED_RES 2025-06-03
VI RA APPROVED 2025-06-03
  • CA RA
    APPROVED
    Since 2025-06-03
  • TX RA
    APPROVED_RES
    Since 2025-06-03
  • VI RA
    APPROVED
    Since 2025-06-03

Branch Locations

Cardiff, CA • United States

4250 Executive Square Suite 800, La Jolla, CA 92037-9103 • United States

555 S. Flower Street Suite 810, Los Angeles, CA 90071 • United States

608 Silver Spur Road Suite 100, Rolling Hills, CA 90274 • 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
Ubs Financial Services Inc Knoxville TN 05/2011 05/2025
Rbc Capital Markets, Llc La Jolla CA 05/2025 Present
City National Bank La Jolla CA 10/2025 Present
Previous Registrations
  • 2011-06-07 → 2025-05-27
    Ubs Financial Services Inc.
    Tampa, FL
    Knoxville, TN
    Knoxville, TN
    Medford, OR
    Portland, OR
    Portland, OR
    Eugene, OR
    Scottsdale, AZ
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Lake Oswego, OR
    San Diego, CA
    Lake Oswego, OR
    Lake Oswego, OR
    San Diego, CA
    Portland, OR
    Bend, OR
    San Diego, CA
    Eugene, OR
    San Diego, CA
    Newport Beach, CA
  • 2010-01-12 → 2011-06-09
    Robert W. Baird & Co. Incorporated
    Tampa, FL
  • 2009-06-01 → 2010-01-20
    Morgan Stanley
    Los Angeles, CA
  • 2001-05-21 → 2009-06-01
    Citigroup Global Markets Inc.
    Sydney, Nsw
    New York, NY
    Los Angeles, CA
    Los Angeles, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-01-19
S65 Uniform Investment Adviser Law Examination 1993-01-19
  • S63 Uniform Securities Agent State Law Examination
    1993-01-19
  • S65 Uniform Investment Adviser Law Examination
    1993-01-19
Other Names
  • James Vincent Carideo
  • James Vincent Carideo Iii
  • James Vincent Carideo

View on SEC IAPD

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