Jordan W. Waring
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.
Jordan Whitney Waring, who also goes by Jordan W Waring, was a registered financial professional .
Jordan is a previously registered financial professional and started their career in finance in 1987. Jordan had worked at 20 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2011 - June 10, 2011
R. SEELAUS & CO., LLC
August 16, 2010 - October 12, 2010
CF GLOBAL TRADING, LLC
May 7, 2010 - June 4, 2010
DINOSAUR FINANCIAL GROUP, L.L.C
December 10, 2009 - March 22, 2010
NORTHEAST SECURITIES, LLC
December 3, 2008 - October 20, 2009
AURIGA USA, LLC
October 11, 2002 - March 10, 2003
SEABOARD SECURITIES, INC.
February 6, 2002 - October 7, 2002
DEBTTRADERS, INC.
June 14, 2001 - December 3, 2001
DAKOTA SECURITIES INTERNATIONAL, INC
August 15, 2000 - June 8, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 21, 1999 - December 7, 1999
FTC SECURITIES, INC.
May 1, 1997 - January 5, 1999
GKN SECURITIES CORP.
October 9, 1996 - May 14, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
July 19, 1996 - September 27, 1996
THE BOSTON GROUP
April 30, 1992 - June 19, 1996
GRUNTAL & CO., L.L.C.
July 16, 1990 - April 7, 1992
CIBC WORLD MARKETS CORP.
March 3, 1989 - August 3, 1990
LEHMAN BROTHERS INC.
March 29, 1988 - May 3, 1988
SOUTH RICHMOND SECURITIES, INC.
March 25, 1988 - April 6, 1988
TRIPP & CO., INC.
January 27, 1988 - March 26, 1988
MORGAN STANLEY DW INC.
January 21, 1987 - March 4, 1988
E. F. HUTTON & COMPANY 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
Exams
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
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.
