Casey L. Caldwell

CNL EDUCATIONAL INSTITUTE

Orlando, FL 32801

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CRD#: 6267535

Professional summary

Casey Lynn Caldwell, who also goes by Casey Lynn Wittek, is a registered financial advisor currently at CNL EDUCATIONAL INSTITUTE, LLC located in Orlando, Florida and CNL SECURITIES CORP. located in Orlando, Florida.

Casey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Casey has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Casey Lynn Wittek

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.

Associated with CNL Educational Institute, LLC. Casey does not sell investment products, provide financial advice, make recommendations and is not involved with research. Director, Fund Management, CNL Healthcare Properties, 450 S. Orange Avenue, Suite 1400, Orlando, FL 32804, 20 hours per week during trading hours, began 4/1/2024.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Casey Lynn Caldwell'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®

None

Experience

Current

September 20, 2019 - Present

CNL EDUCATIONAL INSTITUTE, LLC

Office #1: 450 S. Orange Ave. Suite 1400, Orlando, FL 32801

RIA

CRD#: 175137

Orlando, FL

Current

August 15, 2019 - Present

CNL SECURITIES CORP.

Office #1: 450 South Orange Avenue Suite 1300, Orlando, FL 32801

CRD#: 10356

ORLANDO, FL

Past

November 28, 2017 - March 14, 2019

TRILOMA ENERGY ADVISORS LLC

RIA

CRD#: 175326

WINTER PARK, FL

Past

November 2, 2017 - July 31, 2019

TRILOMA SECURITIES, LLC

CRD#: 173059

WINTER PARK, FL

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".

CNL EDUCATIONAL INSTITUTE, LLC

CNL EDUCATIONAL INSTITUTE, LLC | CNL ENERGY FUND ADVISORS, LLC

CRD#: 175137 / SEC#: 801-81051

RIA

Registered Investment Advisory firm - (2/27/2015 Approved)

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
(1/3/2024)

Florida
(8/15/2019)

IAR

Florida
(9/20/2019)

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: 1/20/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CNL EDUCATIONAL INSTITUTE, LLC

CNL EDUCATIONAL INSTITUTE, LLC | CNL ENERGY FUND ADVISORS, LLC

CRD#: 175137 / SEC#: 801-81051

RIA

Registered Investment Advisory firm - (2/27/2015 Approved)

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Contact information

Main Address

450 S. Orange Ave. Suite 1400, Orlando, FL 32801

Mailing Address

P.o. Box 4920, Orlando, FL 32902-4920

Phone number

(407) 540-2541

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

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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Casey L. Caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Casey Lynn Caldwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CNL EDUCATIONAL INSTITUTE, LLC

CNL SECURITIES CORP.

TRILOMA ENERGY ADVISORS LLC

TRILOMA SECURITIES, LLC

Primary Firm SEC Registration

CNL EDUCATIONAL INSTITUTE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/20/2017

SIE

Date: 10/1/2018

Series 7

Date: 11/2/2017

FINRA

Current Firm

CNL EDUCATIONAL INSTITUTE, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Red Flags

Company Information

CNL EDUCATIONAL INSTITUTE, LLC

TRUST BUT VERIFY

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