Alan Thomas Grobert

Investment Adviser Representative at SEELAUS ASSET MANAGEMENT, LLC

CHATHAM, NJCRD #1830101Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

38 yrs

States Registered

5 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 5 states

FloridaKentuckyNew JerseyNew YorkTexas

Examinations passed

Series 99TO

Operations Professional Examination

Passed 1/2/2023

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 66

Uniform Combined State Law Examination

Passed 2/13/2015

Series 63

Uniform Securities Agent State Law Examination

Passed 6/2/1988

Series 7

General Securities Representative Examination

Passed 5/21/1988

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Blended rate

0.015

Source

SEELAUS ASSET Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

R. SEELAUS & CO., LLCCurrent

5/8/1991 – Chatham, NJ

THE SEABOARD PLANNING CORPORATION

8/30/1989 – 1/30/1991FLORHAM PARK, NJ

CARNEGIE INVESTOR SERVICES INC.

6/29/1989 – 9/6/1989NEW YORK, NY

INVESTORS CENTER, INC.

5/25/1988 – 3/10/1989HAUPPAGUE, NY

SECURITIES USA, INC.

4/6/1989 – 6/27/1989ENGLEWOOD, CO

MONMOUTH INVESTMENTS, INC.

3/9/1989 – 4/8/1989

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Alan Thomas Grobert has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.