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Benjamin Patrick Seelaus

SEELAUS ASSET MANAGEMENT
CHATHAM, NJ
·CRD# 4621898·23 years experience

Professional Summary

Benjamin Patrick Seelaus, who also goes by Ben Seelaus, Benjamin Seelaus, 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. Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Benjamin has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO,...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ben Seelaus, Benjamin Seelaus

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

23 years in the financial services industry

Current & Past Employments

SEELAUS ASSET MANAGEMENT, LLC·CRD# 149582
RIA
26 Main Street Suite 304, Chatham, NJ 07928
September 21, 2015 - Present
R. SEELAUS & CO., LLC·CRD# 14974
BD
26 Main Street Suite 300, Chatham, NJ 07928
October 27, 2014 - Present
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
New York, NY
July 12, 2010 - August 27, 2014
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
October 1, 2008 - June 17, 2010
J.P. MORGAN SECURITIES INC.·CRD# 18718
BD
New York, NY
April 5, 2007 - October 1, 2008
HSBC SECURITIES (USA) INC.·CRD# 19585
BD
New York, NY
May 5, 2006 - March 16, 2007
R. SEELAUS & CO., LLC·CRD# 14974
BD
Chatham, NJ
January 28, 2003 - May 30, 2003

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Current Firm

SA
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 - SEC (2/15/2013 Approved)
New Jersey
Registered Investment Advisory firm - New Jersey (3/28/2013 Terminated)
New York
Registered Investment Advisory firm - New York (3/28/2013 Terminated)
South Carolina
Registered Investment Advisory firm - South Carolina (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).

Contact Information

Main Address

26 Main Street Suite 304, Chatham, NJ 07928

Phone Number

(212) 935-0755

# of Employees

29

SEC notice filing (11 States and Territories)

Registered to provide investment advisory services in 11 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SEELAUS ASSET MANAGEMENT , LLC FORM ADV PART 2 (3/31/2026)

Regulatory Assets Under Management

Total Number of Accounts

502

AUM (Assets Under Management)

$1,704,252,230

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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, CRO/COO, 03/2022 Leveraged Loan Business, 10 hours a month during business hours, Leveraged Loans

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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".
SA
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 - SEC (2/15/2013 Approved)
New Jersey
Registered Investment Advisory firm - New Jersey (3/28/2013 Terminated)
New York
Registered Investment Advisory firm - New York (3/28/2013 Terminated)
South Carolina
Registered Investment Advisory firm - South Carolina (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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(10/27/2014)
RR
Maryland
(11/29/2021)
RR
Massachusetts
(10/27/2014)
RR
Montana
(4/18/2025)
RR
New Jersey
(10/27/2014)
IAR
New Jersey
(9/21/2015)
RR
New Mexico
(7/7/2023)
RR
New York
(10/27/2014)
RR
North Carolina
(5/16/2025)
RR
Pennsylvania
(10/27/2014)
RR
Puerto Rico
(6/5/2025)
RR
Texas
(9/6/2023)
RR
Virgin Islands
(5/13/2025)
RR
Washington
(12/13/2023)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Mar 2015About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2006About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 17 — Limited Registered Representative Examination

Passed May 2006

Series 7 — General Securities Representative Examination

Passed Jan 2003About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Nov 2020About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Sep 2011About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Patrick Seelaus's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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