Robert Peters
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.
Robert Peters was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 23 firms and has passed the Series 63, SIE, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2015 - June 2, 2017
R. SEELAUS & CO., LLC
February 2, 2012 - August 10, 2015
INSPEREX LLC
May 25, 2011 - January 30, 2012
COHEN & COMPANY SECURITIES, LLC
November 13, 2009 - April 20, 2011
PNC CAPITAL MARKETS LLC
January 4, 2005 - November 13, 2009
NATCITY INVESTMENTS, INC.
July 25, 2002 - January 26, 2005
ROBERT W. BAIRD & CO. INCORPORATED
July 2, 1999 - July 24, 2002
BMO CAPITAL MARKETS GKST INC.
October 7, 1996 - July 1, 1999
WELLS FARGO CLEARING SERVICES, LLC
November 11, 1994 - October 7, 1996
ABN AMRO INCORPORATED
June 22, 1994 - November 28, 1994
LASALLE FINANCIAL SERVICES, INC.
July 31, 1992 - June 2, 1994
TUCKER ANTHONY INCORPORATED
October 17, 1990 - July 16, 1992
RAYMOND JAMES & ASSOCIATES, INC.
April 3, 1990 - October 18, 1990
SOUTHEASTERN CAPITAL GROUP, INC.
November 21, 1989 - April 16, 1990
BLUNT ELLIS & LOEWI INCORPORATED
November 13, 1989 - December 19, 1989
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
June 3, 1987 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
February 24, 1978 - October 1, 1978
MORGAN STANLEY DW INC.
January 12, 1978 - August 26, 1979
CITIGROUP GLOBAL MARKETS INC.
December 13, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
August 27, 1976 - April 17, 1977
BACHE HALSEY STUART INC.
July 24, 1972 - June 4, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
June 1, 1972 - August 27, 1976
BACHE & CO INCORPORATED
August 27, 1971 - April 13, 1972
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 000
Date: 7/24/1972
General Securities Principal ExaminationSeries 1
Date: 8/24/1971
Registered Representative ExaminationCurrent 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 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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