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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carbonell is an active investment advisor representative with over 20 years of experience in the financial services industry. James Carbonell is registered in several states and has a proven track record of success in providing financial advice and investment management services to a wide range of clients, including high-net-worth individuals, families, businesses, and institutions. James Carbonell is currently employed by RBC Capital Markets, LLC and has previously held positions at Wells Fargo Clearing Services, LLC, Wells Fargo Investments, LLC, PNC Investments, PNC Brokerage Corp, and Dean Witter Reynolds Inc.
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
CA
08/31/2017 - Present
RBC Capital Markets, LLC (Walnut Creek CA)
CA
01/03/2011 - 08/30/2017
WELLS FARGO CLEARING SERVICES, LLC (WALNUT CREEK CA)
CA
05/14/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (MORAGA CA)
PA
01/01/2004 - 05/14/2004
PNC INVESTMENTS (PITTSBURGH PA)
KY
06/01/2002 - 01/01/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
PA
06/30/1998 - 06/01/2002
PNC BROKERAGE CORP (PITTSBURGH PA)
NY
05/30/1997 - 07/17/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 06/11/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 05/29/1997
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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