Thomas G. Kern
Professional summary
Thomas Griffin Kern, who also goes by (sr) Griffin Kern Sr, Thomas Griffin Kern Sr, Thomas Griffin Kern, Kern (sr) Griffin Thomas Griffin Sr, is a registered financial professional currently at R. SEELAUS & CO., LLC located in Chatham, New Jersey.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Griffin Kern's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 11, 2022 - Present
R. SEELAUS & CO., LLC
Office #1: 26 Main Street Suite 300, Chatham, NJ 07928March 27, 2009 - August 19, 2021
JEFFERIES LLC
September 17, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
December 13, 1995 - September 18, 2007
GLEACHER & COMPANY SECURITIES, INC.
September 12, 1990 - December 11, 1995
LAZARD FRERES & CO. LLC
August 9, 1990 - October 24, 1990
HSBC BROKERAGE (USA) INC.
October 24, 1988 - August 20, 1990
MARINE MIDLAND CAPITAL MARKETS CORP.
July 12, 1988 - November 7, 1988
HSBC BROKERAGE (USA) INC.
August 25, 1986 - September 20, 1988
REINOSO & COMPANY, INCORPORATED
April 25, 1985 - September 12, 1985
PURCELL GRAHAM INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/11/2022)
(3/11/2022)
(3/11/2022)
(3/11/2022)
(3/11/2022)
Exams
FINRA
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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