Alvin Jay D. Deguzman
Professional summary
Alvin Jay Dato Deguzman, who also goes by Alvin D Deguzman, Alvin Dato Deguzman, is a registered financial professional currently at R. SEELAUS & CO., LLC located in Chatham, New Jersey.
Alvin Jay is registered as a RR (Registered Representative) and started their career in finance in 1997. Alvin Jay has worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alvin Jay Dato Deguzman's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2022 - Present
R. SEELAUS & CO., LLC
Office #1: 26 Main Street Suite 300, Chatham, NJ 07928October 11, 2017 - June 13, 2022
MARKETAXESS CORPORATION
February 28, 2013 - March 23, 2017
ROBERT W. BAIRD & CO. INCORPORATED
March 3, 2008 - March 20, 2013
GLEACHER & COMPANY SECURITIES, INC.
March 3, 1998 - March 4, 2008
BNY CAPITAL MARKETS INC.
October 21, 1997 - March 3, 1998
EAGLE ROCK CAPITAL GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/1/2022)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
R. SEELAUS & CO., LLC
CRD#: 14974 / SEC#: 801-68283, 8-31475
Contact information
FINRA licenses (52 States and Territories)
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 | 12 |
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