Jeffrey D. Casale

OSAIC WEALTH

Shirley, MA 01464

Some features on this profile are disabled

CRD#: 4068571

Professional summary

Jeffrey D Casale, who also goes by Jeff Dennis Casale, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Shirley, Massachusetts.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jeffrey has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Dennis Casale

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)CRUSADER HOCKEY POSITION: Hockey Coach NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 11/03/2016 ADDRESS: Main St, Groton MA 01450; DESCRIPTION: coach youth hockey team 2) SMITH BROTHERS INSURANCE POSITION: Agent NATURE: The majority of my fixed Life insurance will be done through woodbury financial. I will write Insurance Through Smith Brothers Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 12/01/2017 ADDRESS: 68 National Drive, Glastonbury CT 06033, United States DESCRIPTION: Provide insurance products for prospects and clients

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey D Casale's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey D Casale'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

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2 Shaker Rd Suite D218, Shirley, MA 01464Office #2: 426 Salem Turnpike #1, Bozrah, CT 06334

RIA

CRD#: 23131

Shirley, MA

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2 Shaker Rd Suite D218, Shirley, MA 01464Office #2: 426 Salem Turnpike #1, Bozrah, CT 06334

RIA

CRD#: 23131

Shirley, MA

Past

March 29, 2017 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

SHIRLEY, MA

Past

January 19, 2017 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

SHIRLEY, MA

Past

September 7, 2016 - December 4, 2016

LPL FINANCIAL LLC

CRD#: 6413

TYNGSBORO, MA

Past

December 21, 2011 - August 26, 2016

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

June 5, 2009 - December 19, 2011

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

BOSTON, MA

Past

February 1, 2008 - February 18, 2009

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

ANDOVER, MA

Past

March 5, 2007 - January 28, 2008

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

September 13, 2001 - February 18, 2009

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

ANDOVER, MA

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

Alabama
(1/19/2024)

Colorado
(7/23/2024)

Connecticut
(1/19/2024)

IAR

Connecticut
(1/19/2024)

Florida
(1/19/2024)

Georgia
(1/19/2024)

Maine
(1/19/2024)

IAR

Maine
(1/19/2024)

Massachusetts
(1/19/2024)

IAR

Massachusetts
(1/19/2024)

New Hampshire
(1/19/2024)

IAR

New Hampshire
(1/19/2024)

New York
(1/19/2024)

Ohio
(1/19/2024)

Pennsylvania
(1/19/2024)

South Carolina
(1/19/2024)

Vermont
(10/1/2025)

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

IAR

Series 66

Date: 3/16/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/9/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/12/2001

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)

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

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jeffrey D. Casale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey D Casale's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey D Casale's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

TRANSAMERICA CAPITAL, LLC

MACQUARIE CAPITAL (USA) INC.

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2017

Series 65

Date: 2/9/2007

Series 63

Date: 8/9/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/18/2002

Series 6

Date: 9/12/2001

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

Similar Advisors