CS
Clifford A. Sterling
SEELAUS ASSET MANAGEMENT
Boca Raton, FL
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CRD#: 1333643
CS
Professional summary
Clifford August Sterling is a registered financial advisor currently at SEELAUS ASSET MANAGEMENT, LLC located in Boca Raton, Florida and R. SEELAUS & CO., LLC located in Red Bank, New Jersey.
Clifford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Clifford has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Mr. Sterling is an investor in Haystack Ventures company that invests in Spanish Real Estate and which is located in New York. Owner of Stillwater Ventures LLC, not investment-related holding company for owning a boat, 160 W Camino Real, BOX 309 Boca Raton, FL 33432 Since 09/2023. No duties or hours involved.
CRS (Client Relationship Summary) - RIA
Click below to view Clifford August Sterling's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 9, 2019 - Present
SEELAUS ASSET MANAGEMENT, LLC
Office #2: 200 Monmouth Street Suite 250, Red Bank, NJ 07701RIA
CRD#: 149582
Boca Raton, FL
Current
June 25, 2019 - Present
R. SEELAUS & CO., LLC
Office #1: 200 Monmouth Street Suite 250, Red Bank, NJ 07701BD
CRD#: 14974
Red Bank, NJ
Past
August 13, 2012 - June 7, 2019
TRIBAL CAPITAL MARKETS, LLC
BD
CRD#: 38901
Boca Raton, FL
Past
August 13, 2008 - August 28, 2012
BRAVER STERN SECURITIES LLC
BD
CRD#: 29108
NEW YORK, NY
Past
March 19, 1986 - August 5, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
SEELAUS ASSET MANAGEMENT, LLC
GRANITE SPRINGS ASSET MANAGEMENT, LLC | SUNNYMEATH ASSET MANAGEMENT, INC | SEELAUS ASSET MANAGEMENT, LLC | NAME 806
CRD#: 149582 / SEC#: 801-77641
RIA
Registered Investment Advisory firm - (2/15/2013 Approved)New Jersey
Registered Investment Advisory firm - (3/28/2013 Terminated)New York
Registered Investment Advisory firm - (3/28/2013 Terminated)South Carolina
Registered Investment Advisory firm - (3/28/2013 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(6/25/2019)
RR
Florida(6/25/2019)
RR
Massachusetts(6/25/2019)
RR
New Jersey(6/25/2019)
IAR
New Jersey(8/9/2019)
RR
New York(6/25/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SEELAUS ASSET MANAGEMENT, LLC
GRANITE SPRINGS ASSET MANAGEMENT, LLC | SUNNYMEATH ASSET MANAGEMENT, INC | SEELAUS ASSET MANAGEMENT, LLC | NAME 806
CRD#: 149582 / SEC#: 801-77641
RIA
Registered Investment Advisory firm - (2/15/2013 Approved)New Jersey
Registered Investment Advisory firm - (3/28/2013 Terminated)New York
Registered Investment Advisory firm - (3/28/2013 Terminated)South Carolina
Registered Investment Advisory firm - (3/28/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
26 Main Street Suite 304, Chatham, NJ 07928
Mailing Address
Phone number
(212) 935-0755
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 484 |
| AUM (Assets Under Management) | $ 1,552,973,774 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
