Best Investors Account Sign in

Jeffery Joseph Carloni

Rbc Capital Markets, LLC

Williamsville, NY

Clarence, NY

CRD 3206665

Claim This Profile
Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-06
TX RA APPROVED_RES 2017-03-30
  • NY RA
    APPROVED
    Since 2021-08-06
  • TX RA
    APPROVED_RES
    Since 2017-03-30

Branch Locations

6225 Sheridan Drive Suite 318, Williamsville, NY 14221-4800 • United States

Clarence, NY • 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
Rbc Wealth Management Williamsville NY 06/2008 Present
  • 06/2008 → Present
    Rbc Wealth Management
    Williamsville, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-03-06
S63 Uniform Securities Agent State Law Examination 1999-08-12
  • S65 Uniform Investment Adviser Law Examination
    2009-03-06
  • S63 Uniform Securities Agent State Law Examination
    1999-08-12
Other Names
  • Jeffrey Carloni

View on SEC IAPD

Nearby Firms

OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RABENOLD ADVISORS, INC.

Nearby Investors

GREGORY PAUL POLEON
CHRISTOPHER ZACCHEAUS CHILES
RANDY DEVIN TOTH

Nearby Offices

OSAIC WEALTH, INC. · WILLIAMSVILLE, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WILLIAMSVILLE, NY
RABENOLD ADVISORS, INC. · WILLIAMSVILLE, NY

More in Williamsville, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor