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RC

Rei Chiang

Some features on this profile are disabled
CRD#: 5474338
RC

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.

Rei Chiang was a registered financial professional .

Rei is a previously registered financial professional and started their career in finance in 2009. Rei had worked at 1 firm and has passed the Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.

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

August 5, 2009 - June 15, 2012

OCTEG, LLC

BD
CRD#: 117429
NEW YORK, NY

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
RR
Series 55
Date: 8/24/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/4/2009
General Securities Representative Examination

Current Firm

OL
OCTEG, LLC
OCTEG, LLC

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

BD
Terminated by SEC on 03/23/2014
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

NamePositionCRD#
GETCO, LLC100% OWNER/MEMBER
CARTER, DEREK DAVIDFINOP4261872
DIBACCO, JOHN JRMANAGER3095313
DONELSON, JAMES ALANCFO5206984
FANG, FRANCINE MINGREGISTERED OPTIONS PRINCIPAL2930457
KACZMARSKI, ANGELA LYNNCHIEF COMPLIANCE OFFICER5629167

Disclosures

Regulatory Event9

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

OCTEG, LLC

CRD#: 117429

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