Benjamin P. Seelaus

SEELAUS ASSET MANAGEMENT

Chatham, NJ 07928

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CRD#: 4621898

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, SIE, Series 17, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Seelaus | Benjamin Seelaus

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Patrick Seelaus'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

September 21, 2015 - Present

SEELAUS ASSET MANAGEMENT, LLC

Office #1: 26 Main Street Suite 304, Chatham, NJ 07928

RIA

CRD#: 149582

Chatham, NJ

Current

October 27, 2014 - Present

R. SEELAUS & CO., LLC

Office #1: 26 Main Street Suite 300, Chatham, NJ 07928

CRD#: 14974

Chatham, NJ

Past

July 12, 2010 - August 27, 2014

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

October 1, 2008 - June 17, 2010

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

April 5, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

May 5, 2006 - March 16, 2007

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

January 28, 2003 - May 30, 2003

R. SEELAUS & CO., LLC

CRD#: 14974

CHATHAM, NJ

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

Florida
(10/27/2014)

Maryland
(11/29/2021)

Massachusetts
(10/27/2014)

Montana
(4/18/2025)

New Jersey
(10/27/2014)

IAR

New Jersey
(9/21/2015)

New Mexico
(7/7/2023)

New York
(10/27/2014)

North Carolina
(5/16/2025)

Pennsylvania
(10/27/2014)

Puerto Rico
(6/5/2025)

Texas
(9/6/2023)

Virgin Islands
(5/13/2025)

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

State Security Law Exam

IAR

Series 66

Date: 3/12/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/11/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 17

Date: 5/4/2006

Limited Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 1/24/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/23/2020

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/26/2011

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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Firm Stability Insights

Benjamin P. Seelaus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

R. SEELAUS & CO., LLC

MORGAN STANLEY & CO. LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

HSBC SECURITIES (USA) INC.

R. SEELAUS & CO., LLC

Primary Firm SEC Registration

SEELAUS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/12/2015

Series 63

Date: 7/11/2006

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 17

Date: 5/4/2006

Series 7

Date: 1/24/2003

Series 4

Date: 11/23/2020

Series 24

Date: 9/26/2011

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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