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Thomas Kern

R. Seelaus & CO., LLC

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About Thomas Kern

Thomas Kern has been a registered representative since 1985. Thomas is currently registered with R. Seelaus & Co., LLC in Chatham, NJ. Thomas has been with R. Seelaus & Co., LLC since 3/11/2022. Prior to R. Seelaus & Co., LLC, Thomas was employed by Jefferies LLC, Depfa First Albany Securities, LLC, Broadpoint Capital, Inc., Lazard Freres & Co. LLC, Marine Midland Securities, Inc., Marine Midland Capital Markets Corp., Reinoso & Company, Incorporated, and Purcell, Graham & Co., Inc.

Firm Information

Thomas Kern 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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Thomas Kern’s Registration & Firm History

NJ

03/11/2022 - Present

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

NY

03/27/2009 - 08/19/2021

JEFFERIES LLC (NEW YORK NY)

NY

09/17/2007 - 03/27/2009

DEPFA FIRST ALBANY SECURITIES, LLC (NEW YORK NY)

MA

12/13/1995 - 09/18/2007

BROADPOINT CAPITAL, INC. (BOSTON MA)

NY

09/12/1990 - 12/11/1995

LAZARD FRERES & CO. LLC (NEW YORK NY)

NY

08/09/1990 - 10/24/1990

MARINE MIDLAND SECURITIES, INC. (NEW YORK NY)

NA

10/24/1988 - 08/20/1990

MARINE MIDLAND CAPITAL MARKETS CORP.

NY

07/12/1988 - 11/07/1988

MARINE MIDLAND SECURITIES, INC. (NEW YORK NY)

NA

08/25/1986 - 09/20/1988

REINOSO & COMPANY, INCORPORATED

NA

04/25/1985 - 09/12/1985

PURCELL, GRAHAM & CO., INC.

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Licenses & Designations

BC

Issued 08/21/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/20/2019

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/1985

Series 7 - General Securities Representative Examination

BC

Issued 01/09/1985

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Kern.
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