David G. Mangone

SEELAUS ASSET MANAGEMENT

Chatham, NJ 07928

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CRD#: 4590009

Professional summary

David Gerald Mangone is a registered financial advisor currently at SEELAUS ASSET MANAGEMENT, LLC located in Chatham, New Jersey and R. SEELAUS & CO., LLC located in Chatham, New Jersey.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. David has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

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 David Gerald Mangone'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

June 10, 2019 - Present

SEELAUS ASSET MANAGEMENT, LLC

Office #1: 26 Main Street Suite 304, Chatham, NJ 07928Office #2: 200 Monmouth Street Suite 250, Red Bank, NJ 07701

RIA

CRD#: 149582

Chatham, NJ

Current

June 7, 2019 - Present

R. SEELAUS & CO., LLC

Office #1: 26 Main Street Suite 300, Chatham, NJ 07928Office #2: 200 Monmouth Street Suite 250, Red Bank, NJ 07701

CRD#: 14974

Chatham, NJ

Past

January 15, 2019 - July 17, 2019

STERLING WEALTH ADVISORS LLC

RIA

CRD#: 269892

HOLMDEL, NJ

Past

August 9, 2012 - June 7, 2019

TRIBAL CAPITAL MARKETS, LLC

CRD#: 38901

ORLANDO, FL

Past

January 5, 2011 - August 14, 2012

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

July 24, 2008 - January 5, 2011

BRAVER STERN SECURITIES LLC

CRD#: 29108

NEW YORK, NY

Past

July 1, 2005 - July 16, 2008

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

October 21, 2002 - June 24, 2005

J.P. MORGAN SECURITIES INC.

CRD#: 18718

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.

IAR

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(9/10/2025)

Connecticut
(6/7/2019)

Florida
(6/7/2019)

Massachusetts
(6/7/2019)

New Jersey
(6/7/2019)

IAR

New Jersey
(6/10/2019)

New York
(6/7/2019)

IAR

New York
(2/28/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/10/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/9/2013

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/2013

General Securities Principal Examination

SRO Registrations

FINRA

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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David G. Mangone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Gerald Mangone's CRS (Customer Relationship Summary).

Certified licenses

Experience

R. SEELAUS & CO., LLC

STERLING WEALTH ADVISORS LLC

TRIBAL CAPITAL MARKETS, LLC

CANTOR FITZGERALD & CO.

BRAVER STERN SECURITIES LLC

UBS SECURITIES LLC

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

SEELAUS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2019

Series 63

Date: 10/21/2002

Series 79TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/16/2002

Series 53

Date: 12/9/2013

Series 24

Date: 5/2/2013

FINRA

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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