Stephen
Caruso

Royal Alliance Associates, Inc

CRD#2729658
Investment Advisor
in Utica, NY

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About this Advisor

Stephen Caruso is a financial advisor operating in Utica, New York with a total of 2 years of industry experience. Caruso works at Royal Alliance Associates, Inc. During their career, the advisor has held roles at Royal Alliance Associates, Inc and Caruso Mclean & Co., Inc. Caruso has Series 63 and Series 66 licenses, designating them as a securities agent, and is able to advise clients in New York. Royal Alliance Associates, Inc is a firm that has its headquarters in Jersey City, NJ. The investment advisory business has offices in 1,009 locations and a total of 3,704 people on staff. It administers $30 billion in assets between its 149,233 accounts, making it one of the largest investment advisory firms in the country by assets under management. The firm provides services to 191 charitable organizations. Of its 149,233 accounts, just 11% are associated with high-net-worth individuals who have at least $1 million in assets. Royal Alliance Associates, Inc has a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. Fees for financial management largely depend on which services the firm provides the client. However, fees charged by Royal Alliance Associates, Inc most likely are comprised of asset-based, hourly and fixed fees.

Certifications and Registrations

Series 63, Series 66

Years Registered*

2 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Office Location

Lomond Place Office Park 130 Lomond Court
Utica, NY 13502

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Royal Alliance Associates, Inc Brokerage Details

Total Assets Under Management

$29,536,149,674

NY Average: $10,121,009,343
Total Number of Employees

3,704

NY Average: 92
Total Number of Accounts

149,233

NY Average: 6,978
Average Account Size

$197,920

NY Average: $1,450,417

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Stephen Caruso Work History

Stephen has been registered as a financial advisor for 2 years.*

1996 - Present (28 years)

Royal Alliance Associates, Inc

1996 - Present (28 years)

Caruso Mclean & Co., Inc

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Stephen Caruso to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Royal Alliance Associates, Inc

Trisha Qualy
St Louis Park, MN
Austen Harvey
Jersey City, NJ
Stephen Carter
Grandville, MI
David Whitfield
Mishawaka, IN
Samuel Clark
South Jordan, UT
Amanda Johnson
Spokane, WA
Louis Sparacino
Mineola, NY
Phillip Wong
Wayland, MA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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