Carl A. Castanho

OSAIC WEALTH

EAST HARTFORD, CT 06108

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CRD#: 3256615

Professional summary

Carl A Castanho is a registered financial advisor currently at OSAIC WEALTH, INC. located in East Hartford, Connecticut.

Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Carl has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 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.

***ATLANTIC FAMILY GROUP LLC POSITION: MEMBER NATURE: VACATION PROPERTY ON BEACH INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/02/2020 ADDRESS: 1622 MAIN ST, EAST HARTFORD CT 06108 DESCRIPTION: FAMILY VACATION PROPERTY ***BOLTON SENIOR COMMUNITY LLC POSITION: TAX PREP NATURE: OWNS LAND INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/19/2005 ADDRESS: 1622 MAIN ST, EAST HARTFORD CT 06108 DESCRIPTION: PARTNER IN LAND OWNERSHIP ***GLOBAL FUNDING GROUP LLC POSITION: MEMBER NATURE: COMMERCIAL REAL ESTATE INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/18/2005 ADDRESS: 1622 MAIN ST, EAST HARTFORD CT 06108 DESCRIPTION: PREPARE FEDERAL AND STATE TAX RETURNSMONITOR APPLICATION PROCESS ***CASTANHO DEVELOPMENT LLC POSITION: MEMBER NATURE: REAL ESTATE CURRENTLY OFFICE BUILDING INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/24/2006 ADDRESS: 1622 MAIN ST, EAST HARTFORD CT 06108 DESCRIPTION: OVERSEE AND MANAGE ***CASTANHO ADVISORY GROUP LLC POSITION: MANAGING MEMBER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 09/18/2023 ADDRESS: 1622 MAIN ST, EAST HARTFORD CT 06108 DESCRIPTION: FINANCIAL PLANNING AND PROVIDE INSURANCE AND ADVISORY RELATED PRODUCTS ***CASTANHO FINANCIAL GROUP LLC POSITION: PRINCIPAL/MEMBER NATURE: CPA FIRM INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 100 START DATE: 09/23/1998 ADDRESS: 1622 MAIN ST, EAST HARTFORD CT 06108 DESCRIPTION: REVIEW AND OVERSEE ACCOUNTANTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl A Castanho's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Carl A Castanho's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1622 Main St, East Hartford, CT 06108

RIA

CRD#: 23131

EAST HARTFORD, CT

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1622 Main St, East Hartford, CT 06108

RIA

CRD#: 23131

EAST HARTFORD, CT

Past

April 17, 2024 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

EAST HARTFORD, CT

Past

April 17, 2024 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

EAST HARTFORD, CT

Past

September 3, 2003 - May 7, 2024

EQUITY SERVICES, INC.

RIA

CRD#: 265

EAST HARTFORD, CT

Past

August 1, 2003 - May 7, 2024

EQUITY SERVICES, INC.

CRD#: 265

EAST HARTFORD, CT

Past

November 20, 2002 - July 29, 2003

OSAIC FS, INC.

RIA

CRD#: 3870

EAST HARTFORD, CT

Past

June 19, 2002 - July 29, 2003

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

November 23, 2001 - June 3, 2002

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

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

California
(6/14/2024)

Connecticut
(6/14/2024)

IAR

Connecticut
(6/14/2024)

Florida
(6/14/2024)

Georgia
(2/18/2025)

Maine
(6/14/2024)

Massachusetts
(6/14/2024)

Michigan
(6/14/2024)

New Jersey
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

South Carolina
(6/25/2024)

Virginia
(12/26/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/25/2002

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/31/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/21/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Firm Stability Insights

Carl A. Castanho

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl A Castanho's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Carl A Castanho's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

OSAIC FS, INC.

OSAIC FS, INC.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/25/2002

Series 65

Date: 8/31/2001

SIE

Date: 10/1/2018

Series 6

Date: 11/21/2001

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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