Randy M. Masel

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CRD#: 2219595

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.

Randy Mark Masel was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 1992. Randy had worked at 5 firms and has passed the Series 65, Series 63, Series 16, Series 7 and Series 24 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 23, 2014 - March 31, 2021

SEELAUS ASSET MANAGEMENT, LLC

RIA

CRD#: 149582

CHATHAM, NJ

Past

September 26, 2003 - January 8, 2007

MILLENCO LLC

CRD#: 33726

NEW YORK, NY

Past

September 28, 2001 - April 3, 2003

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

December 21, 2000 - October 5, 2001

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

September 2, 1992 - November 29, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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: 1/11/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 16

Date: 5/25/1994

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 7/30/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/1994

General Securities Principal Examination

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

Randy M. Masel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MILLENCO LLC

NATWEST MARKETS SECURITIES INC.

U.S. BANCORP INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SEELAUS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/2014

Series 63

Date: 10/27/1992

Series 16

Date: 5/25/1994

Series 7

Date: 7/30/1992

Series 24

Date: 3/14/1994

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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