Guilhem M. Castagne
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.
Guilhem Marcel Castagne, who also goes by Guilhem Marcel Castagnem, Guilhem M Castagre, was a registered financial advisor .
Guilhem is a previously registered financial advisor and started their career in finance in 1992. Guilhem had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 62, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2009 - February 8, 2010
WOODSTOCK FINANCIAL GROUP, INC.
May 25, 2009 - February 8, 2010
WOODSTOCK FINANCIAL GROUP, INC.
February 4, 2005 - January 6, 2006
ADVENT SECURITIES, INC.
January 29, 2003 - September 11, 2003
AUGMENT SECURITIES INC.
April 8, 1996 - July 12, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
November 2, 1994 - April 15, 1996
UBS FINANCIAL SERVICES INC.
November 3, 1992 - November 12, 1994
ROTHSCHILD GLOBAL INVESTMENTS, INC.
August 10, 1992 - November 16, 1992
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 1/17/2003
Corporate Securities Limited Representative ExaminationCurrent Firm
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
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.
