James A. Batteast

R. SEELAUS & CO.

Chicago, IL 60601

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CRD#: 1719214

Professional summary

James Allen Batteast is a registered financial professional currently at R. SEELAUS & CO., LLC located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 10 firms and has passed the Series 63, SIE and Series 7 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) - BD

Click below to view James Allen Batteast's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 13, 2018 - Present

R. SEELAUS & CO., LLC

Office #1: 203 N Lasalle Street Suite 2100, Chicago, IL 60601

CRD#: 23959

Past

September 24, 1987 - September 7, 1989

FIRST OPTIONS OF CHICAGO, INC.

CRD#: 13822

CHICAGO, IL

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(3/13/2018)

New Jersey
(3/13/2018)

New York
(3/13/2018)

Oregon
(4/5/2022)

Exams

State Security Law Exam

Series 63

Date: 7/9/1992

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: 9/19/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

R. SEELAUS & CO., LLC

R. SEELAUS & CO., INC. | RSC ASSET MANAGEMENT LLC. | RSC ASSET MANAGEMENT LLC | R. SEELAUS & CO.,INC. | R. SEELAUS & CO., LLC

CRD#: 14974 / SEC#: 801-68283, 8-31475

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

26 Main Street Suite 300, Chatham, NJ 07928

Mailing Address

26 Main Street Suite 300, Chatham, NJ 07928

Phone number

(908) 273-3011

Established

Delaware since 06/27/2018

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

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

Red Flags

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James A. Batteast

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Allen Batteast's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSERRA SECURITIES, LLC

LEBENTHAL & CO., LLC

M. R. BEAL & COMPANY

MIZUHO SECURITIES USA LLC

CANTOR FITZGERALD & CO.

CANTOR FITZGERALD SECURITIES

MESIROW FINANCIAL, INC.

CANTOR FITZGERALD SECURITIES

CANTOR FITZGERALD & CO.

CONTINENTAL GLOBAL FINANCIAL CORPORATION

FIRST OPTIONS OF CHICAGO, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/9/1992

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

FINRA

Current Firm

R. SEELAUS & CO., LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

R. SEELAUS & CO., LLC

TRUST BUT VERIFY

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