Curt A Caserta

Current Employers

Employment History

• 05/2011 → Present
  Capital Wealth Management, Inc.
  West Warwick, RI
• 03/2012 → 08/2024
  Triad Advisors Inc
  Norcross, GA
• 08/2024 → Present
  Osaic Wealth, Inc.
  West Warwick, RI

Previous Registrations

• 2004-11-03 → 2012-03-30
  Kestra Investment Services, Llc
  W. Warwick, RI

Other Businesses

(1.) NAME OF OBA: BROKERS SERVICES, INC; ADDRESS OF OBA: PROVIDENCE, RI 02903; NATURE: LOCAL BROKERAGE HOUSE SALES AND SUPPORT OF TERM INSURANCE AND NON-VARIABLE FIXED ANNUITIES; INVESTMENT RELATED: YES; TITLE WITH OBA: BROKER; DUTIES: LOCAL BROKERAGE HOUSE SALES AND SUPPORT OF TERM INSURANCE AND NON-VARIABLE FIXED ANNUITIES; START DATE: 2010; APPROX. NUMBER OF HOURS/MONTH: VARIED; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (2.) NAME OF OBA: PADI SCUBA DIVING INSTRUCTION; ADDRESS OF OBA: N. KINSTOWN,RI 02852; NATURE: RECREATIONAL PADI SCUBA INSTRUCTOR; INVESTMENT RELATED: NO; TITLE WITH OBA: SCUBA DIVING INSTRUCTOR; DUTIES: DIVE INSTRUCTION/POOL-OCEAN ACADEMICS; START DATE: 1991; APPROX. NUMBER OF HOURS/MONTH: 2-3; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: ESTATE PLANNING COUNCIL OF RI; ADDRESS OF OBA: PROVIDENCE, RI 02901; NATURE: NETWORKING AND EDUCATION; INVESTMENT RELATED: NO; TITLE WITH OBA: MEMBER; DUTIES: NETWORKING AND EDUCATION; START DATE: 2017; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0 (4.) BROKERS SERVICE MARKETING GROUP POSITION: Broker NATURE: Insurance Brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1991 ADDRESS: 500 South Main Street, Providence RI 02903, United States DESCRIPTION: Insurance and annuity brokerage both variable and non-variable. All variable paid through Osaic (5.) PADI SCUBA INSTRUCTOR 47379 POSITION: Scuba Instructor NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/1991 ADDRESS: 73 Allison Ct, North Kingstonw RI 02852, United States DESCRIPTION: PADI Scuba Instructor- Inactive but current. Recreational diving instructor. I am keeping my license active in the hope of doing some part-time instruction when retired in the future. Have not been actively teaching in the last 10 years

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-11-01
• S63 Uniform Securities Agent State Law Examination
  1996-04-29