CRD #14974 · FINRA BrokerCheck + SEC IAPD

R. Seelaus & Co., LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, R. Seelaus & Co., LLC ranks #583 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #15 of 114 on the same disclosure sort used on the state browse page. R. Seelaus & Co., LLC carries 12 BrokerCheck disclosures across 7 branch offices - elevated load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
7
branch offices
12
disclosures
#583 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 14974 R. Seelaus & Co., LLC

R. Seelaus & Co., LLC · Grade B · 12 disc · 1.71/office · Small firm

  • CRD 14974
  • GRADE B
  • DISC 12
  • REG 12
  • ARB 0
  • CIV 0
  • BRANCH 7
  • PER-OFF 1.71
  • RANK #583 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: TJM Investments, LLC (1.71 disc/office)

TJM Investments, LLC1.71Dealerweb LLC1.75Monex Securities, Inc.1.75R. Seelaus & Co., LLC (this)1.71
Disclosures per office among small firm peers (lower is cleaner)

R. Seelaus & Co., LLC ranks #583 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.71 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

7 offices

FINRA: Small firm

Total disclosures

12 events

On FINRA BrokerCheck

Regulatory events

12 actions

100% of all disclosures

Disclosures per office

1.71 per office

12 ÷ 7 offices

R. Seelaus & Co., LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

2 a cleaner per-office record than 16% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). This entry sits in this band. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 12
Arbitrations 0
Civil Events 0
Total 12

Counts for R. Seelaus & Co., LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 12 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Chatham, NJ, 07928
Formed
06/27/2018
State of Formation
Delaware
CRD Number
14974
SEC Number
31475

Regulator-heavy mix

R. Seelaus & Co., LLC in the heavier-disclosure third

R. Seelaus & Co., LLC carries 12 BrokerCheck disclosures across 7 branch offices - a heavier-third raw book among graded firms (#583 of 20,055). Regulator-initiated events are 100% of the book (12 regulatory / 0 arbitration / 0 civil).

100% of R. Seelaus & Co., LLC's 12 disclosures are regulator-initiated (12 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of R. Seelaus & Co., LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New Jersey cohort · 0.93× state average

R. Seelaus & Co., LLC tracks near the New Jersey disclosure average

R. Seelaus & Co., LLC reports 12 BrokerCheck disclosures, about 0.93× the New Jersey average of 12.9 across 114 graded firms.

In New Jersey, 50 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does R. Seelaus & Co., LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, R. Seelaus & Co., LLC ranks #583 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #15 of 114 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for R. Seelaus & Co., LLC?
A grade of B reflects R. Seelaus & Co., LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 12 total disclosures across 7 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does R. Seelaus & Co., LLC have?
R. Seelaus & Co., LLC has 12 total FINRA disclosures, including 12 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is R. Seelaus & Co., LLC?
R. Seelaus & Co., LLC operates 7 branch offices and is classified by FINRA as a small firm, registered in NJ (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify R. Seelaus & Co., LLC's disciplinary record?
You can verify R. Seelaus & Co., LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 14974. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). R. Seelaus & Co., LLC's 12 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid R. Seelaus & Co., LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. R. Seelaus & Co., LLC carries 12 disclosures across 7 branch offices (about 1.71 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for R. Seelaus & Co., LLC, both outside NJ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • TJM Investments, LLC (IL) - 1.71 disclosures/office, nearest small firm peer to R. Seelaus & Co., LLC's 1.71
  • Dealerweb LLC (NJ) - 1.75 disclosures/office, nearest small firm peer to R. Seelaus & Co., LLC's 1.71
  • Monex Securities, Inc. (TX) - 1.75 disclosures/office, nearest small firm peer to R. Seelaus & Co., LLC's 1.71
  • Firms in NJ - state roster that includes R. Seelaus & Co., LLC's registration home.
  • Red Flags in Advisor Records - How to read R. Seelaus & Co., LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 12 disclosures behind R. Seelaus & Co., LLC's Grade B.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as R. Seelaus & Co., LLC.
  • Compare firms - put R. Seelaus & Co., LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.