Todd Michael Casazza
CFP®Professional Summary
Todd Michael Casazza, CFP®, who also goes by Todd M Casazza, is a registered financial advisor currently at WEALTH MANAGEMENT RESOURCES, INC. located in Smithfield, Rhode Island and PURSHE KAPLAN STERLING INVESTMENTS located in Smithfield, Rhode Island. Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Todd has worked at 9 firms and has passed the Series 63, Series 6TO, SIE, Series 55,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Todd M Casazza
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
WEALTH MANAGEMENT RESOURCES, INC.
Contact Information
Main Address
28 Cedar Swamp Road Suite One, Smithfield, RI 02917Phone Number
(401) 356-1400Established
Rhode Island since 01/18/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
9SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
1,508AUM (Assets Under Management)
$385,200,640Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
WEALTH MANAGEMENT RESOURCES, INC.
State Registrations and Notice Filings
(6/30/2023)
(6/30/2023)
(8/29/2022)
(6/30/2023)
(8/29/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2023About the Series 6TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2007Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2001About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Todd Michael Casazza's CRS (Customer Relationship Summary).
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