Robert G. Sullivan
Professional summary
Robert Gerard Sullivan, who also goes by Robert Gerald Sullivan, Robert Gerard Sullivan, is a registered financial professional currently at R. SEELAUS & CO., LLC located in Chatham, New Jersey.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Gerard Sullivan's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2023 - Present
R. SEELAUS & CO., LLC
Office #1: 26 Main Street Suite 300, Chatham, NJ 07928August 16, 2016 - September 25, 2023
SMBC NIKKO SECURITIES AMERICA, INC.
January 5, 2015 - August 4, 2016
LLOYDS SECURITIES
August 15, 2002 - December 17, 2014
HSBC SECURITIES (USA) INC.
April 18, 2000 - March 22, 2002
GOLDMAN SACHS & CO. LLC
October 8, 1996 - April 13, 2000
LEHMAN BROTHERS 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
(9/29/2023)
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Exams
Series 52TO
Date: 1/2/2023
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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