Business Management Biographies
Tom Rose, CPA
Chief Financial Officer
- Responsible for financial, compliance, regulatory and operational matters.
- Formerly CFO and Managing Director for J.W. Seligman & Co., where he served senior financial and operational roles from 1992 to 2010.
- Prior to J.W. Seligman, he was Treasurer and Principal Financial Officer for American Advisors, Inc from 1987 to 1992 and Manager at PriceWaterhouseCoopers.
- Education: BBA from Pace University.
Vanessa A. Williams
CHIEF COMPLIANCE OFFICER
- Responsible for administration of the compliance programs.
- Formerly Vice President, Senior Compliance Officer at Legg Mason & Co, LLC where she has served since 2005. Before joining Legg Mason, she was a Compliance Analyst at Citigroup Asset Management (Acquired by Legg Mason & Co, LLC Dec. 2005) and a Complaint and Litigation Analyst at Lincoln Financial Advisors.
- Education: BA from Lehigh University