Ricardo A. Luciano Mateo
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.
Ricardo Ariel Luciano Mateo, who also goes by Ricardo Ariel Luciano, Ricardo Luciano, Ricardo Luciano Mateo, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 2007. Ricardo had worked at 2 firms and has passed the Series 65, Series 63, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2010 - November 27, 2012
SEELAUS ASSET MANAGEMENT, LLC
December 21, 2007 - September 25, 2008
SIDOTI & COMPANY, LLC
Primary Firm SEC Registration
SEELAUS ASSET MANAGEMENT, LLC
CRD#: 149582 / SEC#: 801-77641
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
Current Firm
SEELAUS ASSET MANAGEMENT, LLC
CRD#: 149582 / SEC#: 801-77641
Contact information
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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