Verified
James Carlisle is a financial advisor with RBC Capital Markets, LLC. James has over 14 years of experience in the financial services industry. James is registered with both the state of Rhode Island and Texas. James has passed the Series 3, 4, 7, 24, 52TO, 53 and 66 examinations. James has previously worked for Wells Fargo Clearing Services, LLC, Citizens Securities, Inc., Commonwealth Financial Network, and State Street Global Markets, LLC. James specializes in serving high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and insurance companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
RI
01/31/2024 - Present
RBC Capital Markets, LLC (PROVIDENCE RI)
MA
07/25/2017 - 08/13/2021
STATE STREET GLOBAL MARKETS, LLC (BOSTON MA)
RI
11/20/2015 - 07/05/2017
WELLS FARGO CLEARING SERVICES, LLC (PROVIDENCE RI)
MA
03/18/2015 - 10/26/2015
CITIZENS SECURITIES, INC. (CANTON MA)
MA
12/11/2008 - 03/09/2015
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
BOTH
Issued 12/14/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/28/2014
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/21/2013
Series 4 - Registered Options Principal Examination
BC
Issued 09/14/2012
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/2017
Series 3 - National Commodity Futures Examination
BC
Issued 12/10/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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