Denise Marie Cataldo

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-09-01
IN	RA	APPROVED	2023-09-01
MA	RA	APPROVED	2023-09-01
MT	RA	APPROVED	2023-09-01
NH	RA	APPROVED	2023-09-01
TX	RA	APPROVED_RES	2023-09-01

FL RA
APPROVED

Since 2023-09-01
IN RA
APPROVED

Since 2023-09-01
MA RA
APPROVED

Since 2023-09-01
MT RA
APPROVED

Since 2023-09-01
NH RA
APPROVED

Since 2023-09-01
TX RA
APPROVED_RES

Since 2023-09-01

Branch Locations

Marlboro, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Denise Cataldo Cpa, Pc	Marlboro	MA	07/1992	Present
Cataldo Financial Services, Llc	Marlboro	MA	01/2006	Present
Sagepoint Financial	Framingham	MA	05/2009	09/2023
Osaic Wealth, Inc.	Marlboro	MA	09/2023	Present

07/1992 → Present

Denise Cataldo Cpa, Pc

Marlboro, MA
01/2006 → Present

Cataldo Financial Services, Llc

Marlboro, MA
05/2009 → 09/2023

Sagepoint Financial

Framingham, MA
09/2023 → Present

Osaic Wealth, Inc.

Marlboro, MA

Previous Registrations

2009-06-08 → 2023-09-01

Osaic Services, Inc.

Stoughton, MA

Marlboro, MA
2000-03-17 → 2009-05-21

U.S. Financial Advisors

Marlboro, MA

Other Businesses

1) ANN T DOERR SUPPLEMENTAL NEEDS TRUST POSITION: Trustee NATURE: A trust set up as a result of my father's estate for my mother. My brother and I are co-trustees INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2021 ADDRESS: 2 Vernon Drive, Hudson MA 01749, United States DESCRIPTION: To fulfill my position as trustee and act in the best interest of the beneficiary by handling any assets in the trust with financial diligence. 2) ANN T DOERR SUPPLEMENTAL NEED TRUST - FAMILY SHARE POSITION: Co-Trustee NATURE: Trust - set up as a result of my father's death INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2021 ADDRESS: 2 Vernon Drive, Hudson MA 01749, United States DESCRIPTION: To fulfill my responsibilities as a trustee to due my financial due diligence on behalf of the beneficiaries. 3) DENISE CATALDO CPA PC POSITION: Owner NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 2 START DATE: 07/01/1992 ADDRESS: 6 Simpson Road, Marlboro MA 01752, United States DESCRIPTION: I work with the general public offering forensic accounting services. 4) CATALDO FINANCIAL LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 112 START DATE: 01/01/2006 ADDRESS: 6 Simpson Road, Marlborough MA 01752, United States DESCRIPTION: Manage and operate my investment advisory business

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1999-11-19
S65	Uniform Investment Adviser Law Examination	1999-10-29

S63 Uniform Securities Agent State Law Examination

1999-11-19
S65 Uniform Investment Adviser Law Examination

1999-10-29

Other Names

Denise Marie Doerr

View on SEC IAPD