Compliance

STEVEN WEISS, Esq.
General Counsel, Chief Administrative Officer and Chief Compliance Officer
sweiss@rooseveltinvestments.com

Steven Weiss joined Roosevelt Investments in 2007 as the General Counsel, Chief Administrative Officer and Chief Compliance Officer responsible for all legal and compliance aspects for the firm. Prior to joining Roosevelt, Mr. Weiss was an attorney with Thelen, Reid, Brown, Raysman and Steiner LLP.  He is currently an Adjunct Professor of Law at the Benjamin N. Cardozo School of Law in Manhattan. Mr. Weiss earned a BA in Political Science from Tufts University and a JD, cum laude, from the Benjamin N. Cardozo School of Law.

JAMES CULLEN
Compliance Manager
jcullen@rooseveltinvestments.com

James Cullen joined Roosevelt Investments in 2009 as the Compliance Manager. Prior to joining Roosevelt, Mr. Cullen was a Compliance Advisor for Raymond James & Associates in their Asset Management Services division. His background is in Investment Adviser Act and Investment Company Act compliance, as well as database design. He currently holds his Series 7, 24, and 66 licenses. Mr. Cullen earned a BA in Political Science, with a minor in Economics, from the University of South Florida and an MBA from the University of Phoenix.