Joseph M. Boyle
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Michael Boyle was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2013 - June 24, 2021
RBC CAPITAL MARKETS, LLC
September 14, 2010 - March 1, 2013
BNP PARIBAS SECURITIES CORP.
May 27, 2009 - July 19, 2010
UBS SECURITIES LLC
June 19, 2006 - July 25, 2008
J.P. MORGAN SECURITIES INC.
June 13, 2005 - June 13, 2006
COUNTRYWIDE SECURITIES CORPORATION
March 10, 1997 - June 21, 2005
CREDIT SUISSE SECURITIES (USA) LLC
February 29, 1996 - March 7, 1997
BNP PARIBAS SECURITIES CORP.
February 28, 1996 - March 7, 1997
BNP PARIBAS SECURITIES CORP.
July 19, 1995 - February 29, 1996
SANWA SECURITIES (USA) CO., L.P.
December 16, 1994 - February 29, 1996
SANWA SECURITIES (USA) CO., L.P.
August 18, 1993 - January 13, 1995
ZIONS DIRECT, INC.
March 1, 1990 - September 10, 1993
DISCOUNT CORPORATION OF NEW YORK
August 26, 1988 - September 5, 1989
CM&M FUTURES INC.
March 10, 1988 - September 5, 1989
HSBC SECURITIES (USA) INC.
March 3, 1987 - February 4, 1988
UBS SECURITIES LLC
November 18, 1986 - February 9, 1987
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/31/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RBC CAPITAL MARKETS, LLC
CRD#: 31194 / SEC#: 801-13059, 8-45411
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
