AM
Anneliese N. Mitnick
SEELAUS ASSET MANAGEMENT
Chatham, NJ 07928
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CRD#: 4862821
AM
Professional summary
Anneliese Nmn Mitnick, who also goes by Anneliese Mitnick, Anneliese Seelaus, Annie 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.
Anneliese is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Anneliese has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 57, Series 17 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anneliese Mitnick | Anneliese Seelaus | Annie 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, CEO, 03/2022 Leveraged Loan Business, 10 hours a month during business hours, Leveraged Loans
CRS (Client Relationship Summary) - RIA
Click below to view Anneliese Nmn Mitnick's 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®
NoneExperience
Current
April 12, 2021 - Present
SEELAUS ASSET MANAGEMENT, LLC
Office #1: 26 Main Street Suite 304, Chatham, NJ 07928RIA
CRD#: 149582
Chatham, NJ
Current
February 13, 2009 - Present
R. SEELAUS & CO., LLC
Office #1: 26 Main Street Suite 300, Chatham, NJ 07928BD
CRD#: 14974
Chatham, NJ
Past
October 7, 2004 - March 11, 2008
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, 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".
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 - (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)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/4/2018)
RR
Arizona(9/6/2023)
RR
Arkansas(1/4/2018)
RR
California(10/16/2015)
RR
Colorado(9/6/2023)
RR
Connecticut(3/31/2016)
RR
Delaware(1/4/2018)
RR
Florida(6/18/2018)
RR
Illinois(10/16/2015)
RR
Nebraska(10/29/2020)
RR
Nevada(1/4/2018)
RR
New Hampshire(1/4/2018)
RR
New Jersey(2/13/2009)
IAR
New Jersey(4/12/2021)
RR
New Mexico(1/4/2018)
RR
New York(2/13/2009)
RR
Ohio(1/4/2018)
RR
Pennsylvania(2/13/2009)
RR
Rhode Island(1/4/2018)
RR
South Dakota(1/4/2018)
RR
Vermont(1/4/2018)
RR
Virginia(1/4/2018)
RR
Washington(1/4/2018)
RR
Wisconsin(1/4/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 17
Date: 10/6/2004
Limited Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
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 - (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)Upgrade to AdvisorCheck Premium
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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
30
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 484 |
| AUM (Assets Under Management) | $ 1,552,973,774 |
Red Flags
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