David G. Coogan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Gordon Coogan was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 5 firms and has passed the F04 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 1993 - May 6, 1998
R. SEELAUS & CO., LLC
February 1, 1990 - May 14, 1993
W. H. MELL ASSOCIATES, INC.
June 2, 1989 - February 17, 1990
GMS GROUP
July 13, 1976 - February 23, 1989
COOGAN, GILBERT & CO., INC.
June 16, 1970 - November 11, 1974
PAINEWEBBER SPECIALISTS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
F04
Date: 4/22/1976
Financial Principal ExaminationCurrent Firm
R. SEELAUS & CO., LLC
CRD#: 14974 / SEC#: 801-68283, 8-31475
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEELAUS HOLDINGS LLC | OWNER/MEMBER | |
| BRUCIA, JAMES BENEDETTO | CO-HEAD OF ORIGINATION AND SYNDICATE, MANAGING DIRECTOR | 1281247 |
| GRAVES, LESLIE ANN | CO HEAD OF ORIGINATION AND SYNDICATE, MANAGING DIRECTOR | 1411769 |
| MITNICK, ANNELIESE NMN | CHIEF EXECUTIVE OFFICER (CEO) | 4862821 |
| MOLCHAN, MAYYA NMN | CHIEF FINANCIAL OFFICER (CFO), FINANCIAL AND OPERATIONS PRINCIPAL ( FINOP) | 5865025 |
| MURRAY III, ALBERT QUENTIN | HEAD OF SALES AND TRADING, MUNICIPAL PRINCIPAL (MP) | 1032639 |
| PAJDAK, KAROLINA NMN | CHIEF COMPLIANCE OFFICER (CCO) | 4491899 |
| SEELAUS, BENJAMIN PATRICK | CHIEF OPERATING OFFICER (COO), REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL (ROSFP) | 4621898 |
| SEELAUS, RICHARD PAUL | CHAIRMAN, | 500660 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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