Joseph Carl Caruso

Current Employers

Rbc Capital Markets, Llc

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

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2013-09-12

OH RA
APPROVED

Since 2013-09-12

Branch Locations

2 Equity Way Suite 200, Westlake, OH 44145 • United States

Breckville, OH • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets Corporation	Cleveland	OH	03/2009	Present

03/2009 → Present

Rbc Capital Markets Corporation

Cleveland, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-10-02
S63	Uniform Securities Agent State Law Examination	1982-02-24

S65 Uniform Investment Adviser Law Examination

2013-10-02
S63 Uniform Securities Agent State Law Examination

1982-02-24

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Exams

Reviews