Compliance

Craig Weiss

Chief Compliance Officer
Mr. Weiss joined the firm in August 2016 as the Compliance Officer of R.Seelaus & Co. and Granite Springs Asset Management, LLC.  He is responsible for ensuring that the firm and its employees are in compliance with industry and internal policies and procedures.  In addition, Craig supervises the daily sales activity of the firm’s registered representatives.  His career in compliance began almost 25 years ago writing policies and procedures for Merrill Lynch.  His experience with fixed income started in 1995 when, for the next 14 years, Craig served as a Compliance Officer and then the Assistant Branch Manager for the flagship office of J.B. Hanauer & Co.  He has since been responsible for compliance and supervision at several broker dealers and investment advisory firms including the Chief Compliance Officer at MJ Whitman and Belle Haven, another firm specializing in fixed income.  Mr. Weiss is a graduate of Brandeis University with a bachelor’s degree in American Studies/Legal Studies. 

 

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.

 

Zeina Barton

Finance & Operations Associate, Insurance Coordinator
Zeina Barton brings to the R. Seelaus team innovative techniques and strong leadership skills.  The former Junior Achiever President and debater was raised on the tropical island of Antigua and Barbuda.  She immigrated to the United States in 2005 and attended Kean University in Union, New Jersey.  Her passion for International Relations and Finance led her to pursue a Bachelor’s degree in International Business where she graduated Magna Cum Laude. Subsequently, she obtained a Master’s degree in Global Business Administration with a concentration in Finance.  Upon graduating she joined R. Seelaus as the Assistant Office Manager collaborating directly with the CFO.

Her day-to-day responsibilities include but are not limited to financial preparation, accounts reconciliation, payroll, accounts payable and receivable, filing of FOCUS report, and further strengthening the dynamics of the company’s culture.  She also oversees the operations of the firm’s insurance subsidiary, RSC Financial Products LLC.  She currently holds the FINRA licenses 27 and 99 as well as Life and Health insurance licenses.

 
 

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.