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SC

Sean D. Casterline

Some features on this profile are disabled
CRD#: 2212919
SC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sean Donovan Casterline, who also goes by Sean Donavan Casterline, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 1992. Sean had worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean Donavan Casterline

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) TUSCAN GARDENS SENIOR LIVING - 99 S. New York Ave, Winter Park, FL 32789 - MANAGING DIRECTOR OF PRIVATE EQUITY FOR SENIOR LIVING COMMUNITIES - SINCE 2012 - APPROX 20 HRS/MO - COMPENSATED BY COMMISSIONS AND DEVELOPER FEES 2) DELTA CAPITAL MANAGEMENT, LLC 698 N. MAITLAND AVENUE, SUITE 201, MAITLAND, FL 32751 - RIA - OPERATIONS CONSULTANT SINCE 11/2021 - APPROX 80 HRS/MO - SALARY PLUS 1099 3) DELTA ADVISORY GROUP, INC. 696 N MAITLAND AVENUE, MAITLAND, FL 32751- RIA - PORTFOLIO MANAGER - SINCE 1/2002 - APPROX 20 HRS/MO - FEE BASED COMPENSATION 4) Dyline Holdings, LLC - 698 N. MAITLAND AVE, MAITLAND, FL 32751 - NON INVESTMENT RELATED - REAL ESTATE HOLDING COMPANY - PARTNER SINCE 11/2015 - APPROX 3 HRS/MO 5) STORAGE UNITS CAPITAL MANAGEMENT CORPORATION 698 N. MAITLAND AVENUE, SUITE 203, MAITLAND, FL 32751 - REAL ESTATE - STORAGE MANAGEMENT COMPANY - PRESIDENT/100% OWNER SINCE 01/2021 - APPROX 20 HRS/MO - SALARY

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 7, 2018 - January 18, 2022

DELTA SECURITIES COMPANY, LLC

BD
CRD#: 130577
Maitland, FL
Past

February 6, 2017 - October 5, 2017

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL
Past

March 29, 2016 - November 5, 2021

AEGIS WEALTH MANAGEMENT, LLC

RIA
CRD#: 199511
MAITLAND, FL
Past

October 26, 2015 - December 8, 2021

GREENLEAF ADVISORS

RIA
CRD#: 172332
Orlando, FL
Past

March 13, 2014 - January 30, 2017

DELTA SECURITIES COMPANY LLC

BD
CRD#: 145511
ORLANDO, FL
Past

November 13, 2013 - March 6, 2014

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

April 20, 2009 - October 26, 2009

DYNETECH CAPITAL CORPORATION

RIA
CRD#: 149557
LONGWOOD, FL
Past

January 2, 2004 - November 9, 2021

DELTA CAPITAL MANAGEMENT, LLC

RIA
CRD#: 128350
LONGWOOD, FL
Past

November 26, 2002 - April 19, 2022

DELTA ADVISORY GROUP, INC.

RIA
CRD#: 105966
Maitland, FL
Past

August 8, 2002 - May 27, 2004

PREMIERETRADE SECURITIES, INC.

RIA
CRD#: 16776
LONGWOOD, FL
Past

January 14, 2002 - July 28, 2004

PREMIERETRADE SECURITIES, INC.

BD
CRD#: 16776
ALTAMONTE SPRINGS, FL
Past

October 19, 2001 - January 15, 2002

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

November 12, 1998 - October 19, 2001

FAS WEALTH MANAGEMENT SERVICES, INC.

BD
CRD#: 10164
SARASOTA, FL
Past

August 6, 1992 - October 2, 1998

PREMIERETRADE SECURITIES, INC.

BD
CRD#: 16776
ALTAMONTE SPRINGS, FL
Past

February 12, 1992 - May 19, 1992

F.N. WOLF & CO., INC.

BD
CRD#: 13051

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/10/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/10/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/4/2002
Registered Options Principal Examination

Current Firm

DS
DELTA SECURITIES COMPANY, LLC
DELTA SECURITIES COMPANY, LLC | MAITLAND SECURITIES, INC.

CRD#: 130577 / SEC#: , 8-66364

BD
Terminated by SEC on 03/19/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 08/12/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DELTA FINANCIAL HOLDINGS COMPANY, LLCOWNER
JOHNSON, MEGAN REBECCACCO6911479
SAVALLO, LAWRENCE JAMESFINOP1195178

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.

Company Information

DELTA SECURITIES COMPANY, LLC

CRD#: 130577

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