Todd M. Casazza

WEALTH MANAGEMENT RESOURCES

Smithfield, RI 02917

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CRD#: 4425018

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 Albany, New York.

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, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Todd M Casazza

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.) Wealth Management Resources Inc. Investment Related. At Registered Location. RIA. IAR. 6/2023. 160. 160. Advisor 2.) Smithfield Girl's Softball League. Non-Investment Related. P.O. Box 17393 Smithfield RI, 02917. Nonprofit Organization. Board President. 11/2021. 60. 0. Will be involved in or oversee all functions of the league.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Michael Casazza'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

August 29, 2022 - Present

WEALTH MANAGEMENT RESOURCES, INC.

Office #1: 28 Cedar Swamp Road Suite One, Smithfield, RI 02917

RIA

CRD#: 45452

Smithfield, RI

Current

June 30, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 28 Cedar Swamp Road Suite 1, Smithfield, RI 02917

CRD#: 35747

ALBANY, NY

Past

August 29, 2022 - June 30, 2023

WEALTH MANAGEMENT RESOURCES, INC.

CRD#: 45452

Smithfield, RI

Past

July 22, 2021 - September 7, 2022

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

October 20, 2015 - September 7, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Boston, MA

Past

January 2, 2014 - March 10, 2014

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454

JERSEY CITY, NJ

Past

April 27, 2007 - March 10, 2014

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

May 24, 2006 - April 30, 2007

PERSHING ADVISOR SOLUTIONS LLC

CRD#: 36671

JERSEY CITY, NJ

Past

September 11, 2001 - May 10, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 11, 2001 - May 10, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, 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".

WEALTH MANAGEMENT RESOURCES, INC.

CRD#: 45452 / SEC#: 801-57281, 8-51061

RIA

Registered Investment Advisory firm - SEC (2/18/2000 Approved)

Terminated by SEC on 09/10/2023

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

Connecticut
(6/30/2023)

Massachusetts
(6/30/2023)

IAR

Rhode Island
(8/29/2022)

Rhode Island
(6/30/2023)

IAR

Texas
(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

State Security Law Exam

Series 63

Date: 8/7/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 6/30/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/2/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/23/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/10/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/2/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WEALTH MANAGEMENT RESOURCES, INC.

CRD#: 45452 / SEC#: 801-57281, 8-51061

RIA

Registered Investment Advisory firm - SEC (2/18/2000 Approved)

Terminated by SEC on 09/10/2023

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Contact information

Main Address

28 Cedar Swamp Road Suite One, Smithfield, RI 02917

Mailing Address

Phone number

(401) 356-1400

Established

Rhode Island since 01/18/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

07 25 2025 WMR FORM ADV PART 2A AND 2B FINAL (7/25/2025)

Direct owners and executive officers

Name	Position	CRD#
WORTHLEY, KEVIN R	EXEC. VICE PRESIDENT/SECRETARY	4089865
WORTHLEY, KEVIN R	CHIEF COMPLIANCE OFFICER	4089865
NEELY, KIMBERLY BETH	FINOP	2045019

Regulatory assets under management

Total Number of Accounts	1,397
AUM (Assets Under Management)	$ 385,218,918

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Todd M. Casazza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Michael Casazza's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WEALTH MANAGEMENT RESOURCES, INC.

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

BNY MELLON CAPITAL MARKETS, LLC

PERSHING LLC

PERSHING ADVISOR SOLUTIONS LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

WEALTH MANAGEMENT RESOURCES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/7/2006

Series 6TO

Date: 6/30/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/2/2007

Series 7

Date: 5/23/2006

Series 6

Date: 9/10/2001

Series 24

Date: 12/2/2008

FINRA

Current Firm

WEALTH MANAGEMENT RESOURCES, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WEALTH MANAGEMENT RESOURCES, INC.

TRUST BUT VERIFY

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