Alan Thomas Grobert
Professional Summary
Alan Thomas Grobert, who also goes by Alan Grobert, is a registered financial advisor currently at SEELAUS ASSET MANAGEMENT, LLC located in Chatham, New Jersey and R. SEELAUS & CO., LLC located in Chatham, New Jersey. Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Alan has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alan Grobert
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
38 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
GRANITE SPRINGS ASSET MANAGEMENT, LLC | SUNNYMEATH ASSET MANAGEMENT, INC | SEELAUS ASSET MANAGEMENT, LLC | NAME 806
Contact Information
Main Address
26 Main Street Suite 304, Chatham, NJ 07928Phone Number
(212) 935-0755# of Employees
29SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
502AUM (Assets Under Management)
$1,704,252,230Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
GRANITE SPRINGS ASSET MANAGEMENT, LLC | SUNNYMEATH ASSET MANAGEMENT, INC | SEELAUS ASSET MANAGEMENT, LLC | NAME 806
State Registrations and Notice Filings
(5/23/1991)
(12/13/2021)
(5/9/1991)
(2/20/2015)
(1/3/1992)
(1/8/1999)
(4/28/2015)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Alan Thomas Grobert's CRS (Customer Relationship Summary).
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