William W. Wachtel

CRD#: 1562494

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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Wendell Wachtel, who also goes by William Wachtel, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1986. William had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William Wachtel

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 4, 2019 - July 7, 2025

SEELAUS ASSET MANAGEMENT, LLC

RIA

CRD#: 149582

Chatham, NJ

Past

April 5, 2017 - July 7, 2025

R. SEELAUS & CO., LLC

CRD#: 14974

Chatham, NJ

Past

March 3, 2016 - April 10, 2017

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

FLORHAM PARK, NJ

Past

March 2, 2016 - April 10, 2017

OPPENHEIMER & CO. INC.

CRD#: 249

FLORHAM PARK, NJ

Past

June 5, 2014 - October 9, 2015

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

ROSELAND, NJ

Past

April 15, 2014 - October 9, 2015

PARK AVENUE SECURITIES LLC

CRD#: 46173

ROSELAND, NJ

Past

January 4, 2013 - October 4, 2013

GURTIN MUNICIPAL BOND MANAGEMENT

RIA

CRD#: 143597

SOLANA BEACH, CA

Past

January 3, 2011 - June 20, 2012

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

January 7, 2009 - January 3, 2011

KNIGHT LIBERTAS LLC

CRD#: 124790

JERSEY CITY, NJ

Past

May 31, 2006 - January 30, 2009

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

January 4, 2001 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

May 1, 1998 - May 30, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

March 25, 1994 - May 1, 1998

JPMSI

CRD#: 15733

NEW YORK, NY

Past

January 27, 1987 - April 13, 1994

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

October 22, 1986 - February 2, 1987

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/11/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/23/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEELAUS ASSET MANAGEMENT , LLC FORM ADV PART 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	484
AUM (Assets Under Management)	$ 1,552,973,774

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

William W. Wachtel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

R. SEELAUS & CO., LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

GURTIN MUNICIPAL BOND MANAGEMENT

KNIGHT CAPITAL AMERICAS, L.P.

KNIGHT LIBERTAS LLC

CREDIT SUISSE SECURITIES (USA) LLC

JPMSI

J.P. MORGAN SECURITIES INC.

JPMSI

SBC WARBURG DILLON READ INC.

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

SEELAUS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/11/2013

Series 63

Date: 12/23/1986

SIE

Date: 10/1/2018

Series 7

Date: 10/18/1986

Current Firm

SEELAUS ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEELAUS ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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