Caroline C. Wetzel

PROCYON

Shelton, CT 06484

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CRD#: 6533740

Professional summary

Caroline Curtin Wetzel, CFP®, who also goes by Caroline Louise Curtin, Caroline C Wetzel, is a registered financial advisor currently at PROCYON located in Shelton, Connecticut.

Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Caroline has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caroline Louise Curtin | Caroline C Wetzel

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) Financial Planning Association; Investment Related: Yes; 1290 Broadway, Suite 1625, Denver, CO. 80203; Industry Group: Member; 8/1/2015; 1 Hour per month; Industry association focused on financial planning. 2) Financial Women's Association; Investment Related: No; 580 Fifth Avenue, Suite 820, New York, NY. 10036; Industry Group; Member; 12/31/2021; 0 Hours per month; Advance the leadership growth and accelerate the success of all women in the financial community. 3) Insurance Sales; Same address; Non-investment related; 6 hours of time spent per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Curtin Wetzel'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: 2017

Experience

Current

July 31, 2017 - Present

PROCYON

Office #1: 1 Corporate Drive Suite 225, Shelton, CT 06484

RIA

CRD#: 288239

Shelton, CT

Past

June 25, 2020 - December 31, 2021

PROCYON INSTITUTIONAL PARTNERS, LLC

RIA

CRD#: 288244

SHELTON, CT

Past

September 8, 2015 - July 6, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

STAMFORD, CT

Past

August 13, 2015 - July 6, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

STAMFORD, CT

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".

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/31/2017)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/8/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2015

General Securities Representative Examination

Current Firm

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

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Contact information

Main Address

1 Corporate Drive Suite 225, Shelton, CT 06484

Mailing Address

Phone number

(475) 232-2704

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROCYON DISCLOSURE BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts	5,638
AUM (Assets Under Management)	$ 7,769,672,465

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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Caroline C. Wetzel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Curtin Wetzel's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROCYON

PROCYON INSTITUTIONAL PARTNERS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

PROCYON

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2015

SIE

Date: 7/6/2017

Series 7

Date: 8/13/2015

Current Firm

PROCYON

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROCYON

TRUST BUT VERIFY

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