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Richard Steven Bertoni

R. Seelaus & CO., LLC

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About Richard Steven Bertoni

Richard Steven Bertoni has been in the securities industry since August 6, 1983. Richard Steven Bertoni is currently registered with R. Seelaus & Co., LLC. Previously, Richard Steven Bertoni was registered with Mitsubishi Ufj Securities (USA), Inc., Northeast Securities, Inc., Dresdner Kleinwort Securities LLC, HSBC Securities (USA) Inc., Libra Securities, LLC, U.S. Bancorp Investments, Inc., PaineWebber Incorporated, and Dean Witter Reynolds Inc. Richard Steven Bertoni has passed the Series 63, Series 24, Series 57TO, SIE, Series 55, and Series 7 exams. Richard Steven Bertoni is registered with the states of New Jersey, New York, and South Carolina.

Firm Information

Richard Bertoni 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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Richard Bertoni’s Registration & Firm History

NJ

01/17/2012 - Present

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

NY

07/28/2009 - 09/28/2011

MITSUBISHI UFJ SECURITIES (USA), INC. (NEW YORK NY)

NY

04/20/2009 - 07/22/2009

NORTHEAST SECURITIES, INC. (NEW YORK NY)

NY

09/12/2006 - 04/01/2009

DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)

NY

06/28/2002 - 07/27/2006

HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)

CA

01/02/2002 - 06/20/2002

LIBRA SECURITIES, LLC (LOS ANGELES CA)

MN

01/19/2001 - 12/31/2001

U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)

NJ

03/06/1986 - 11/29/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NA

11/24/1982 - 02/14/1986

DEAN WITTER REYNOLDS INC.

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Licenses & Designations

BC

Issued 11/02/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/27/1995

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/29/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/20/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Steven Bertoni.
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