John R. Whalen
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.
John Robert Whalen, who also goes by Jack Whalen, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2023 - June 11, 2026
R. SEELAUS & CO., LLC
July 1, 2020 - January 3, 2023
BUCKLER SECURITIES LLC
August 4, 2016 - June 29, 2020
SEAPORT GLOBAL SECURITIES LLC
November 4, 2009 - June 29, 2016
CRT CAPITAL GROUP LLC
April 15, 2009 - November 4, 2009
NAVIGATE ADVISORS
April 4, 1995 - April 3, 2009
NATWEST MARKETS SECURITIES INC.
September 30, 1993 - April 3, 1995
BANC OF AMERICA SECURITIES LLC
August 20, 1993 - September 30, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 22, 1990 - July 7, 1993
CRT GOVERNMENT SECURITIES, LTD.
December 6, 1989 - March 13, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
December 22, 1987 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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.
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