Compliance

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David Zack

Chief Compliance Officer & Anti-Money Laundering Director

David joined the firm in 2017 and is an experienced securities industry professional with nearly 28 years of financial, regulatory, and industry experience leading the Compliance and Anti-Money Laundering department covering a wide range of financial products and services.  He is proficient in advising senior management on regulatory matters and in building relationships with both regulators and firm personnel.   As a thought leader he helps the firm comply with regulatory obligations and succeed in business.

Previously, Mr. Zack was the Co-Chief Compliance Officer of Seaport Global Securities LLC and the Chief Compliance Officer and Anti-Money Laundering Officer for Global Hunter Securities LLC and Credit Agricole Cheuvreux North America, Inc.  Prior, Mr. Zack was a Branch Chief for the United States Securities and Exchange Commission.

Areas of expertise include but are not limited to: Risk Assessment, AML, Policies and Procedures, Investment Banking, Equity & Debt Research, Relationship Management, Regulatory Reporting, Audits & Inquiries, Business Continuity & Cyber-security Plans, and has experience as a Branch Chief for the United States Securities and Exchange Commission.

David earned a Bachelor of Science Degree in Accounting from the Pennsylvania State University, a Master of Science degree from Philadelphia University, and is accredited as a Certified Regulatory and Compliance Professional from the Financial Industry Regulatory Authority Institute at Wharton. Mr. Zack is also a Certified Public Accountant and Chartered Global Management Accountant and holds FINRA licenses 7, 24, 57, 63, 79, & 99.

In an effort to maintain close ties to the community, he also volunteers as VP Finance for Temple Sinai in Summit, NJ, a 501(c)(3) religious non-profit organization where he manages the Finance Department.  David currently resides in New Providence, NJ with his wife and two children.

Administration

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Nicole McFarlane

Operations Manager
Nicole McFarlane is the Operations Manager for R. Seelaus & Co. Nicole was originally recruited as an operations administrator and came to the firm upon graduation from Seton Hall in 2003 and has been an integral member of the firm for the past decade.

Nicole is responsible for all security movement and control functions at the firm. This includes account establishment and maintenance, trade entry, settlements, reconciliation, client billing and supporting customer service for both our advisors and their clients. Her dedication and hard work, matched by her energetic and positive attitude, have led to her rise through the company and to the current position as Operations Manager.

Nicole is a graduate of Seton Hall University with a BA in Social and Behavioral Sciences with a concentration in Psychology. Born and raised in Summit, she is a founding member of the Achievers Program of the Summit Area YMCA and a graduate of the PEP Foundation. Nicole holds FINRA licenses Series 28 & 99.

 
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Laura Tauro

Administrative Assistant
Laura Tauro has over 20 years of experience working in the financial services industry.  She started her career in 1994 at JB Hanauer & Company as an Administrative Assistant and joined R. Seelaus in 2000 to continue working in this role. Over the years Laura has created a solid foundation by working in various support staff capacities.  She is well versed in her role and has the attention to detail necessary to help provide exemplary client service.  Laura’s dedication and professionalism make her a valuable asset to the firm.

In her spare time, Laura enjoys cooking  and spending time with her grandchildren.