James B. Brucia
Professional summary
James Benedetto Brucia, who also goes by Jim Brucia, Jimmy Brucia, James Brucia, is a registered financial professional currently at R. SEELAUS & CO., LLC located in Chatham, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 10 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Benedetto Brucia's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 22, 2017 - Present
R. SEELAUS & CO., LLC
Office #1: 26 Main Street Suite 300, Chatham, NJ 07928November 10, 2010 - March 20, 2017
BBVA SECURITIES INC.
August 31, 2009 - October 20, 2010
MORGAN KEEGAN & COMPANY, LLC
February 6, 2009 - August 31, 2009
MUFG SECURITIES AMERICAS INC.
August 28, 2006 - April 4, 2008
NATWEST MARKETS SECURITIES INC.
June 21, 2001 - June 12, 2006
HSBC SECURITIES (USA) INC.
March 28, 1994 - May 31, 2001
J.P. MORGAN SECURITIES INC.
January 14, 1993 - March 22, 1994
UBS SECURITIES LLC
September 6, 1991 - January 7, 1993
SCHRODER & CO. INC.
March 24, 1987 - August 29, 1991
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
(4/5/2017)
(3/22/2017)
(4/5/2017)
(4/5/2017)
(4/5/2017)
(4/5/2017)
(3/22/2017)
(4/5/2017)
(4/5/2017)
(3/22/2017)
(3/22/2017)
(4/5/2017)
(9/6/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 8/31/2022
Municipal Securities Representative ExaminationFINRA
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 |
Red Flags
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