Douglas C. Bennington
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.
Douglas Charles Bennington, who also goes by Douglas Charles Bennington, Bennington Charles Douglas Charles, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1978. Douglas had worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 3 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 26, 2022 - October 14, 2024
R. SEELAUS & CO., LLC
March 27, 2009 - January 19, 2022
JEFFERIES LLC
September 14, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
August 7, 2003 - September 18, 2007
GLEACHER & COMPANY SECURITIES, INC.
February 7, 2001 - August 19, 2003
CIBC WORLD MARKETS CORP.
February 12, 1996 - January 9, 2001
WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC.
February 16, 1990 - February 28, 1995
PERSHING LLC
July 19, 1983 - February 6, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
July 22, 1982 - July 20, 1983
ROTAN MOSLE INC.
May 6, 1982 - June 1, 1982
ROTAN MOSLE INC.
August 18, 1980 - April 13, 1982
HSBC BROKERAGE (USA) INC.
April 25, 1978 - September 7, 1980
HERBERT J. SIMS & CO, INC.
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative 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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