Alan L. Hunt
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.
Alan Leigh Hunt, who also goes by Alan Hunt, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1991. Alan had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2016 - June 16, 2022
R. SEELAUS & CO., LLC
April 25, 2012 - June 28, 2016
NORTHEAST SECURITIES, LLC
June 13, 2011 - May 15, 2012
GCFA SECURITIES, LLC
November 1, 2010 - June 13, 2011
B. RILEY WEALTH MANAGEMENT
November 4, 2009 - August 4, 2010
COHEN & COMPANY SECURITIES, LLC
May 14, 2009 - November 6, 2009
HFP CAPITAL MARKETS LLC
October 10, 2008 - March 10, 2009
TEJAS SECURITIES GROUP, INC.
August 10, 2006 - October 2, 2008
GUGGENHEIM SECURITIES, LLC
April 20, 2006 - June 15, 2006
AURIA SERVICES CORP.
February 3, 2003 - April 17, 2006
PENSON FINANCIAL SERVICES, INC.
April 2, 2002 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
October 4, 1991 - October 15, 1998
CITICORP SECURITIES, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/30/2004
Limited Representative-Equity Trader ExamCurrent 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.
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