Wale H. Tam

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CRD#: 1703564

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.

Wale H Tam was a registered financial professional .

Wale is a previously registered financial professional and started their career in finance in 1992. Wale had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

January 28, 2013 - April 11, 2016

SEELAUS ASSET MANAGEMENT, LLC

RIA

CRD#: 149582

SUMMIT, NJ

Past

September 1, 2011 - April 11, 2016

R. SEELAUS & CO., LLC

CRD#: 14974

SUMMIT, NJ

Past

August 31, 2011 - April 4, 2013

R. SEELAUS & CO., LLC

RIA

CRD#: 14974

SUMMIT, NJ

Past

May 29, 2008 - September 2, 2011

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

RIDGEWOOD, NJ

Past

May 29, 2008 - September 2, 2011

HSBC SECURITIES (USA) INC.

CRD#: 19585

RIDGEWOOD, NJ

Past

May 2, 2002 - May 6, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

July 31, 2001 - May 6, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

Past

November 20, 1995 - June 29, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

October 9, 1992 - August 1, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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: 8/25/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 5/5/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

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

Wale H. Tam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

R. SEELAUS & CO., LLC

R. SEELAUS & CO., LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SEELAUS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/2001

Series 63

Date: 11/19/1992

SIE

Date: 4/11/2016

Series 7

Date: 10/6/1992

Series 8

Date: 5/5/1998

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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