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Paul Carlesimo

Chief Compliance Officer, RBC Capital Markets - U.S. at RBC Capital Markets

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
13
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Paul Carlesimo is Chief Compliance Officer, RBC Capital Markets - U.S. of RBC Capital Markets, LLC, a New York investment adviser managing $310B. Paul Carlesimo has a current broker registration and no current investment-adviser registration and has passed 13 licensing exams.

Role at RBC Capital Markets

Title on Schedule A
Chief Compliance Officer, RBC Capital Markets - U.S.
Control
Paul Carlesimo is a control person of RBC Capital Markets.
Ownership
An individual ownership band is not available in the source record.
Tenure
Paul Carlesimo has held the filed role since July 2022.

The firm

RBC Capital Markets, LLC
New York, NY

Form ADV filed 30 September 2026

$310B AUM283,910 clients5,908 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 14, Series 26, Series 39, Series 82TO, Series 99TO, Series 57TO, Series 22TO and Series 6TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 63, Series 55 and Series 24 · 2012
  4. Passed Series 7 · 2011

Registrations and exams

Broker registration; no current adviser registration. Paul Carlesimo has passed 13 qualifying exams.

Examinations

Series 6327 February 2012
Name
Uniform Securities Agent State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 262 January 2023
Name
Investment Company Products/Variable Contracts Principal Examination
Series 392 January 2023
Name
Direct Participation Programs Principal Examination
Series 243 July 2012
Name
General Securities Principal Examination
Series 82TO2 January 2023
Name
Limited Representative-Private Securities Offerings
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
Series 22TO2 January 2023
Name
Direct Participation Programs Representative Examination
Series 6TO2 January 2023
Name
Investment Company Products/Variable Contracts Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 552 April 2012
Name
Limited Representative-Equity Trader Exam
Series 77 November 2011
Name
General Securities Representative Examination

Individual record

Full name
Paul Adam Carlesimo
CRD
4718504
Firm
RBC Capital Markets, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Paul Carlesimo work?

Paul Carlesimo has been Chief Compliance Officer, RBC Capital Markets - U.S. of RBC Capital Markets, LLC since July 2022, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Paul Carlesimo have a current investment-adviser registration?

Paul Carlesimo has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Paul Carlesimo passed?

Paul Carlesimo has passed 13 licensing exams: the Series 7, Series 63, Series 55, Series 24, SIE, Series 14, Series 26, Series 39, Series 82TO, Series 99TO, Series 57TO, Series 22TO and Series 6TO. The earliest, the Series 7, was passed in November 2011.

Source: IAPD individual record, checked 18 October 2026

Leadership at RBC Capital Markets

Sources

  1. IAPD individual record, CRD 4718504. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of RBC Capital Markets, LLC, filed 30 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Paul Carlesimo or RBC Capital Markets, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.