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JS

James A. Slater

R. SEELAUS & CO.
Chatham, NJ 07928
Some features on this profile are disabled
CRD#: 1721976
JS

Professional summary

James Alexander Slater JR, who also goes by James Alexander Slater, is a registered financial professional currently at R. SEELAUS & CO., LLC located in Chatham, New Jersey.

James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 4 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Alexander Slater

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 Alexander Slater JR'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 20, 2023 - Present

R. SEELAUS & CO., LLC

Office #1: 26 Main Street Suite 300, Chatham, NJ 07928
BD
CRD#: 14974
Chatham, NJ
Past

May 16, 2014 - December 6, 2022

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

June 1, 2009 - August 18, 2014

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PURCHASE, NY
Past

April 27, 1995 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(3/20/2023)
RR
Florida
(3/20/2023)
RR
Massachusetts
(3/20/2023)
RR
New Jersey
(3/24/2023)
RR
New York
(3/20/2023)
RR
Pennsylvania
(3/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/3/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/13/1998
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
SEELAUS HOLDINGS LLCOWNER/MEMBER
BRUCIA, JAMES BENEDETTOCO-HEAD OF ORIGINATION AND SYNDICATE, MANAGING DIRECTOR1281247
GRAVES, LESLIE ANNCO HEAD OF ORIGINATION AND SYNDICATE, MANAGING DIRECTOR1411769
MITNICK, ANNELIESE NMNCHIEF EXECUTIVE OFFICER (CEO)4862821
MOLCHAN, MAYYA NMNCHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL ( FINOP)5865025
MURRAY III, ALBERT QUENTINHEAD OF SALES AND TRADING, MUNICIPAL PRINCIPAL (MP)1032639
PAJDAK, KAROLINA NMNCHIEF COMPLIANCE OFFICER (CCO)4491899
SEELAUS, BENJAMIN PATRICKCHIEF OPERATING OFFICER (COO), REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL (ROSFP)4621898
SEELAUS, RICHARD PAULCHAIRMAN,500660

Disclosures

Regulatory Event12

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.

Company Information

R. SEELAUS & CO., LLC

CRD#: 14974Chatham, NJ 07928

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