Richard F. Seamans

SEAMANS CAPITAL MANAGEMENT

WALTHAM, MA 02451

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CRD#: 417573

Professional summary

Richard Fraser Seamans is a registered financial advisor currently at SEAMANS CAPITAL MANAGEMENT, LLC located in Waltham, Massachusetts.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Richard has worked at 3 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Richard Fraser Seamans's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 14, 2005 - Present

SEAMANS CAPITAL MANAGEMENT, LLC

Office #1: 950 Winter Street, Suite 1400, Waltham, MA 02451

RIA

CRD#: 118404

WALTHAM, MA

Past

July 20, 1988 - November 17, 1993

GREAT CUMBERLAND GROUP INC

CRD#: 21698

Past

April 18, 1974 - August 19, 1986

DEAM INVESTOR SERVICES, INC.

CRD#: 754

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".

SEAMANS CAPITAL MANAGEMENT, LLC

RICHARD FRASER SEAMANS | SEAMANS CAPITAL MANAGEMENT, LTD. | SEAMANS CAPITAL MANAGEMENT, LLC | SEAMANS CAPITAL MANAGEMENT

CRD#: 118404 / SEC#: 801-60852

RIA

Registered Investment Advisory firm - (6/19/2002 Approved)

Massachusetts

Registered Investment Advisory firm - (3/10/2005 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(4/14/2005)

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

General Industry/Product Exam

Series 1

Date: 4/13/1974

Registered Representative Examination

Current Firm

SEAMANS CAPITAL MANAGEMENT, LLC

RICHARD FRASER SEAMANS | SEAMANS CAPITAL MANAGEMENT, LTD. | SEAMANS CAPITAL MANAGEMENT, LLC | SEAMANS CAPITAL MANAGEMENT

CRD#: 118404 / SEC#: 801-60852

RIA

Registered Investment Advisory firm - (6/19/2002 Approved)

Massachusetts

Registered Investment Advisory firm - (3/10/2005 Terminated)

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Contact information

Main Address

200 5th Ave. Suite 4010, Waltham, MA 02451

Mailing Address

Phone number

(781) 890-5225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2024 FORM ADV PART 2A 2B (3/27/2025)

Regulatory assets under management

Total Number of Accounts	40
AUM (Assets Under Management)	$ 124,822,314

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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Richard F. Seamans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Fraser Seamans's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEAMANS CAPITAL MANAGEMENT, LLC

GREAT CUMBERLAND GROUP INC

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

SEAMANS CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 1

Date: 4/13/1974

Current Firm

SEAMANS CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEAMANS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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