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Anthony S. Caselli
MAINLINE WEST FUND MANAGER LLC
Denver, CO 80211
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CRD#: 6518684
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Professional summary
Anthony Scott Caselli is a registered financial advisor currently at MAINLINE WEST FUND MANAGER LLC located in Denver, Colorado and MAINLINE WEST MUNICIPAL SECURITIES LLC located in Denver, Colorado.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Anthony has worked at 2 firms and has passed the Series 65, Series 99TO, Series 7TO, SIE, Series 52, Series 24, Series 53 and Series 27 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.
Stonegate Global Fund Administration (f/k/a Stonegate Global Fund Services). This business provides accounting services to investment partnerships and related vehicles; 3333 Piedmont Rd NE, Terminus 200 Suite 2050 Atlanta, GA 30305. I serve as an Independent Contractor since 9/30/2016, and I work 5 hours/week during business hours; preparation of various accounting packages for non-customers of the b/d or RIA. Not investment related.
Caselli Fund Services - 3349 Navajo Street, Denver, CO 80211. Sole Proprietorship. Accounting Services. Started January 2019. Not investment related. 2 hours/week during business hours. I serve as the President - Performing Accounting for non-customers of the B/D or RIA.
Mainline West, LLC - Chief Financial Officer- 32 hours/week during trading hours. 700 Seventeenth Street, Suite 1500 Denver, CO 80202.
Mainline West Fund Manager, LLC is a wholly owned subsidiary of Mainline West, LLC so the work I do for Mainline West includes work I do for Mainline West Fund Manager, LLC. Mainline West Fund Manager, LLC manages tax advantaged proprietary funds under the name Mainline West Tax-Advantaged Opportunity Funds and Mainline West Private Client Trusts, all of which are disclosed on Form ADV for Mainline West Fund Manager, LLC.
MLWRE LLC - 5 hours/week during business hours. Accounting and Operations. I am the Chief Financial Officer. 700 Seventeenth Street, Suite 1500 Denver, CO 80202. Owner of Office Building where Mainline West Municipal Securities, LLC and affiliated entities plan on moving. Landlord. Started June 2018. Not investment related.
This RR is an employee of the b/d, but salary expenses are shared between Mainline West, LLC and Main Line West Municipal Securities, LLC pursuant to an established expense sharing agreement between the entities.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Scott Caselli'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®
NoneExperience
Current
June 21, 2019 - Present
MAINLINE WEST FUND MANAGER LLC
Office #1: 2237 W. 30th Avenue, Denver, CO 80211RIA
CRD#: 147532
Denver, CO
Current
August 3, 2015 - Present
MAINLINE WEST MUNICIPAL SECURITIES LLC
Office #1: 2237 W. 30th Avenue, Denver, CO 80211Office #2: 2237 W. 30th Avenue, Denver, CO 80211BD
CRD#: 148020
Denver, CO
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".
MW
MAINLINE WEST FUND MANAGER LLC
MAINLINE WEST FUND MANAGER LLC
CRD#: 147532 / SEC#: 801-69444
RIA
Registered Investment Advisory firm - (8/20/2008 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.RR
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
RR
Colorado(8/3/2015)
IAR
Colorado(6/21/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 5/20/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MW
MAINLINE WEST FUND MANAGER LLC
MAINLINE WEST FUND MANAGER LLC
CRD#: 147532 / SEC#: 801-69444
RIA
Registered Investment Advisory firm - (8/20/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2237 W. 30th Avenue, Denver, CO 80211
Mailing Address
Phone number
(720) 536-3380
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 120 |
| AUM (Assets Under Management) | $ 1,681,945,178 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
