Sean W. Castette

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CRD#: 4967845

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 W Castette was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2005. Sean had worked at 1 firm and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

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

August 6, 2005 - November 21, 2012

OCTEG, LLC

CRD#: 117429

CHICAGO, IL

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

General Industry/Product Exam

Series 7

Date: 8/6/2002

General Securities Representative Examination

Current Firm

OCTEG, LLC

CRD#: 117429 / SEC#: , 8-53598

Terminated by SEC on 03/23/2014

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Contact information

Main Address

Mailing Address

Phone number

Established

Illinois since 09/04/2001

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GETCO, LLC	100% OWNER/MEMBER
CARTER, DEREK DAVID	FINOP	4261872
DIBACCO, JOHN JR	MANAGER	3095313
DONELSON, JAMES ALAN	CFO	5206984
FANG, FRANCINE MING	REGISTERED OPTIONS PRINCIPAL	2930457
KACZMARSKI, ANGELA LYNN	CHIEF COMPLIANCE OFFICER	5629167

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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