Richard S. Bertoni
Professional summary
Richard Steven Bertoni is a registered financial professional currently at R. SEELAUS & CO., LLC located in Chatham, New Jersey.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1982. Richard has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Steven Bertoni's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 17, 2012 - Present
R. SEELAUS & CO., LLC
Office #1: 26 Main Street Suite 300, Chatham, NJ 07928July 28, 2009 - September 28, 2011
MUFG SECURITIES AMERICAS INC.
April 20, 2009 - July 22, 2009
NORTHEAST SECURITIES, LLC
September 12, 2006 - April 1, 2009
COMMERZ MARKETS LLC
June 28, 2002 - July 27, 2006
HSBC SECURITIES (USA) INC.
January 2, 2002 - June 20, 2002
LIBRA SECURITIES, LLC
January 19, 2001 - December 31, 2001
U.S. BANCORP INVESTMENTS, INC.
March 6, 1986 - November 29, 2000
UBS FINANCIAL SERVICES INC.
November 24, 1982 - February 14, 1986
MORGAN STANLEY DW 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
(1/17/2012)
(1/17/2012)
(11/29/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
R. SEELAUS & CO., LLC
CRD#: 14974 / SEC#: 801-68283, 8-31475
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEELAUS HOLDINGS LLC | OWNER/MEMBER | |
| BRUCIA, JAMES BENEDETTO | CO-HEAD OF ORIGINATION AND SYNDICATE, MANAGING DIRECTOR | 1281247 |
| GRAVES, LESLIE ANN | CO HEAD OF ORIGINATION AND SYNDICATE, MANAGING DIRECTOR | 1411769 |
| MITNICK, ANNELIESE NMN | CHIEF EXECUTIVE OFFICER (CEO) | 4862821 |
| MOLCHAN, MAYYA NMN | CHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL ( FINOP) | 5865025 |
| MURRAY III, ALBERT QUENTIN | HEAD OF SALES AND TRADING, MUNICIPAL PRINCIPAL (MP) | 1032639 |
| PAJDAK, KAROLINA NMN | CHIEF COMPLIANCE OFFICER (CCO) | 4491899 |
| SEELAUS, BENJAMIN PATRICK | CHIEF OPERATING OFFICER (COO), REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL (ROSFP) | 4621898 |
| SEELAUS, RICHARD PAUL | CHAIRMAN, | 500660 |
Disclosures
| Regulatory Event | 12 |
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