CC
Curt A. Caserta
CAPITAL WEALTH MANAGEMENT
WEST WARWICK, RI 02893
Some features on this profile are disabled
CRD#: 2709324
CC
Professional summary
Curt A Caserta, AIF®, CLU® is a registered financial advisor currently at CAPITAL WEALTH MANAGEMENT, LLC located in West Warwick, Rhode Island and OSAIC WEALTH, INC. located in West Warwick, Rhode Island.
Curt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Curt has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1.) NAME OF OBA: BROKERS SERVICES, INC; ADDRESS OF OBA: PROVIDENCE, RI 02903; NATURE: LOCAL BROKERAGE HOUSE SALES AND SUPPORT OF TERM INSURANCE AND NON-VARIABLE FIXED ANNUITIES; INVESTMENT RELATED: YES; TITLE WITH OBA: BROKER; DUTIES: LOCAL BROKERAGE HOUSE SALES AND SUPPORT OF TERM INSURANCE AND NON-VARIABLE FIXED ANNUITIES; START DATE: 2010; APPROX. NUMBER OF HOURS/MONTH: VARIED; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (2.) NAME OF OBA: PADI SCUBA DIVING INSTRUCTION; ADDRESS OF OBA: N. KINSTOWN,RI 02852; NATURE: RECREATIONAL PADI SCUBA INSTRUCTOR; INVESTMENT RELATED: NO; TITLE WITH OBA: SCUBA DIVING INSTRUCTOR; DUTIES: DIVE INSTRUCTION/POOL-OCEAN ACADEMICS; START DATE: 1991; APPROX. NUMBER OF HOURS/MONTH: 2-3; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: ESTATE PLANNING COUNCIL OF RI; ADDRESS OF OBA: PROVIDENCE, RI 02901; NATURE: NETWORKING AND EDUCATION; INVESTMENT RELATED: NO; TITLE WITH OBA: MEMBER; DUTIES: NETWORKING AND EDUCATION; START DATE: 2017; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0 (4.) BROKERS SERVICE MARKETING GROUP POSITION: Broker NATURE: Insurance Brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1991 ADDRESS: 500 South Main Street, Providence RI 02903, United States DESCRIPTION: Insurance and annuity brokerage both variable and non-variable. All variable paid through Osaic (5.) PADI SCUBA INSTRUCTOR 47379 POSITION: Scuba Instructor NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/1991 ADDRESS: 73 Allison Ct, North Kingstonw RI 02852, United States DESCRIPTION: PADI Scuba Instructor- Inactive but current. Recreational diving instructor. I am keeping my license active in the hope of doing some part-time instruction when retired in the future. Have not been actively teaching in the last 10 years
CRS (Client Relationship Summary) - RIA
Click below to view Curt A Caserta's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
October 17, 2011 - Present
CAPITAL WEALTH MANAGEMENT, LLC
Office #1: 1300 Division Road Suite 203, West Warwick, RI 02893RIA
CRD#: 157959
WEST WARWICK, RI
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1300 Division Road Suite 203, West Warwick, RI 02893RIA
BD
CRD#: 23131
WEST WARWICK, RI
Past
March 30, 2012 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
WEST WARWICK, RI
Past
November 3, 2004 - March 30, 2012
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
W. WARWICK, RI
Past
August 16, 2004 - March 30, 2012
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
W. WARWICK, RI
Past
February 26, 1997 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
February 4, 1997 - August 20, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CW
CAPITAL WEALTH MANAGEMENT, LLC
CAPITAL WEALTH MANAGEMENT, INC. | CAPITAL WEALTH MANAGEMENT, LLC
CRD#: 157959 / SEC#: 801-76539
RIA
Registered Investment Advisory firm - (5/11/2012 Approved)Rhode Island
Registered Investment Advisory firm - (5/16/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(8/23/2024)
RR
Florida(8/23/2024)
RR
Georgia(8/23/2024)
RR
Massachusetts(8/23/2024)
RR
New Hampshire(8/23/2024)
IAR
Rhode Island(10/17/2011)
RR
Rhode Island(8/23/2024)
IAR
Texas(1/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CAPITAL WEALTH MANAGEMENT, LLC
CAPITAL WEALTH MANAGEMENT, INC. | CAPITAL WEALTH MANAGEMENT, LLC
CRD#: 157959 / SEC#: 801-76539
RIA
Registered Investment Advisory firm - (5/11/2012 Approved)Rhode Island
Registered Investment Advisory firm - (5/16/2012 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1300 Division Road Suite 203, West Warwick, RI 02893
Mailing Address
Phone number
(401) 885-1060
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 632 |
| AUM (Assets Under Management) | $ 1,001,028,285 |
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.
Company Information
CAPITAL WEALTH MANAGEMENT, LLC
CRD#: 157959West Warwick, RI 02893TRUST BUT VERIFY
Monitor Curt Caserta
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
