Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Carl Caruso is a financial advisor with over 40 years of experience in the industry. Joseph is currently registered with RBC Capital Markets, LLC and holds various licenses and certifications, including Series 7, 9, 10, 24, 31, 52, 53, and 65 licenses. Joseph also holds a Series 63 license. He has previously worked with Ferris, Baker Watts, LLC, First Union Securities, Inc., Stifel, Nicolaus & Company, Incorporated, PaineWebber Incorporated, and Shearson Lehman Hutton Inc. His areas of expertise include asset management, financial planning, and pension consulting.
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
OH
09/12/2013 - Present
RBC Capital Markets, LLC (Westlake OH)
OH
04/18/2001 - 03/13/2009
FERRIS, BAKER WATTS, LLC (CLEVELAND OH)
MO
04/09/1999 - 04/23/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
MO
09/14/1995 - 04/06/1999
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)
NJ
07/16/1990 - 09/22/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
02/15/1988 - 07/30/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
05/01/1973 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 10/02/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/24/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/13/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/23/1988
Series 24 - General Securities Principal Examination
BC
Issued 11/01/1984
Series 4 - Registered Options Principal Examination
BC
Issued 08/21/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 07/09/1986
Series 3 - National Commodity Futures Examination
BC
Issued 10/14/1981
Series 5 - Interest Rate Options Examination
BC
Issued 08/31/1977
PC - AMEX Put and Call Exam
BC
Issued 04/21/1973
Series 000 - General Securities Principal Examination
BC
Issued 04/21/1973
Series 1 - Registered 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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