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James Alexander Slater

R. Seelaus & CO., LLC

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About James Alexander Slater

James Alexander Slater is a financial professional with over 27 years of experience in the financial services industry. James has a strong background in investment banking, municipal securities, and general securities. James is currently registered with R. Seelaus & Co., LLC and holds Series 7, 52TO, 53, 63, 79TO, and SIE licenses. James has previously held positions with Morgan Stanley and Morgan Stanley & Co. In addition to his current role, James has held leadership positions in the past. James's expertise in the industry gives him the knowledge and experience to provide comprehensive financial guidance to his clients.

Firm Information

James Slater is currently registered with R. Seelaus & CO., LLC. R. Seelaus & CO., LLC is a Limited Liability Company formed on June 27, 2018, and is registered in 48 states and with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

41

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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James Slater’s Registration & Firm History

NJ

03/20/2023 - Present

R. Seelaus & CO., LLC (Chatham NJ)

NY

05/16/2014 - 12/06/2022

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

06/01/2009 - 08/18/2014

MORGAN STANLEY (New York NY)

NY

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)

NY

04/27/1995 - 04/02/2007

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 03/03/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/13/1998

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/15/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Alexander Slater.
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