Nancy J. Sterzel

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CRD#: 3168152

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.

Nancy Juliana Sterzel, who also goes by Nancy Juliana Sterzel, Nancy Juliana Vasilas, was a registered financial professional .

Nancy is a previously registered financial professional and started their career in finance in 1999. Nancy had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nancy Juliana Sterzel | Nancy Juliana Vasilas

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.

Seelaus Financial, an affiliate of R. Seelaus & Co, LLC, 26 Main Street Suite 300, Chatham, NJ 07928, 05/02/2023 Leveraged Loan Business, 5/10 hours a month during business hours, Leveraged Loans.

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

August 16, 2023 - March 15, 2024

SEELAUS ASSET MANAGEMENT, LLC

RIA

CRD#: 149582

CHATHAM, NJ

Past

May 8, 2023 - March 15, 2024

R. SEELAUS & CO., LLC

CRD#: 14974

Chatham, NJ

Past

October 20, 2021 - May 1, 2023

LPL FINANCIAL LLC

CRD#: 6413

MORRISTOWN, NJ

Past

August 21, 2020 - March 4, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Chatham, NJ

Past

May 13, 2013 - September 18, 2020

FCG ADVISORS, LLC

CRD#: 40633

CHATHAM, NJ

Past

February 16, 2012 - September 27, 2012

LIQUIDNET, INC.

CRD#: 103987

NEW YORK, NY

Past

June 15, 2004 - October 13, 2011

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 28, 2003 - April 2, 2004

RAMIUS SECURITIES LLC

CRD#: 41076

NEW YORK, NY

Past

August 7, 2002 - July 9, 2003

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Past

February 14, 2000 - August 6, 2002

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, NY

Past

August 14, 1999 - February 8, 2000

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, NY

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: 3/6/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 11/15/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/1999

General Securities Representative 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

Nancy J. Sterzel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

R. SEELAUS & CO., LLC

LPL FINANCIAL LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

FCG ADVISORS, LLC

LIQUIDNET, INC.

CITIGROUP GLOBAL MARKETS INC.

RAMIUS SECURITIES LLC

NEEDHAM & COMPANY, LLC

SANDS BROTHERS & CO., LTD.

SANDS BROTHERS & CO., LTD.

Primary Firm SEC Registration

SEELAUS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/2002

Series 63

Date: 7/15/1999

Series 99TO

Date: 11/15/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/10/1999

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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