Julie C. Caldwell
Professional summary
Julie Caryn Caldwell, who also goes by Julie Caryn Caldwell, Julie Caryn Ptaschnik, is a registered financial professional currently at R. SEELAUS & CO., LLC located in Chatham, New Jersey.
Julie is registered as a RR (Registered Representative) and started their career in finance in 2010. Julie has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Julie Caryn Caldwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2025 - Present
R. SEELAUS & CO., LLC
Office #1: 26 Main Street Suite 300, Chatham, NJ 07928August 2, 2021 - August 25, 2023
TD SECURITIES (USA) LLC
July 1, 2016 - April 9, 2021
MUFG SECURITIES AMERICAS INC.
May 16, 2012 - October 16, 2012
LOOP CAPITAL MARKETS LLC
February 9, 2011 - August 3, 2011
ALADDIN CAPITAL LLC
January 18, 2010 - February 1, 2011
KAUFMAN BROS., L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/7/2025)
(1/9/2025)
(1/7/2025)
(1/6/2025)
(1/7/2025)
Exams
Series 7TO
Date: 8/25/2021
General Securities Representative ExaminationFINRA
Current 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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