James Vincent Carideo
Investment adviser representative at RBC Capital Markets, LLC
15 yearsExperience
3 statesRegistered in
$310.4BFirm assets
49 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
15 years in the industry.
- City National BankOct 2025 to now
- RBC Capital Markets, LLCMay 2025 to now
- UBS Financial Services IncMay 2011 to May 2025
Exams passed
- Series 63 · Uniform Securities Agent State Law1993
- Series 65 · Uniform Investment Adviser Law1993
State registrations
Registered as an investment adviser representative in 3 states (CA, TX, VI).
RBC Capital Markets, LLC
$310.4BAssets managed
283,910Clients
3,838Advisers
49 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2252878
- Firm CRD
- 31194