Management

Michael S. Rosen
Managing Director

Mr. Rosen is a Managing Director of Concept Capital, a division of Sanders Morris Harris Inc. and has been affiliated with the firm and its predecessors since 1997. Mr. Rosen has been involved in the investment business since 1985 and has broad experience in portfolio management, equity research, investment banking and prime brokerage services. Mr. Rosen co-founded Whiteford Advisors, LLC, an investment management business, in 1997 and as a Managing Member co-managed several pools of funds under that umbrella through the end of 2005. Mr. Rosen has also been affiliated with Lazard Freres, LLC, Ethos Capital Management, Inc., Steinhardt Partners, L.P., Smith Barney and Drexel Burnham Lambert. Mr. Rosen serves as a member of the Board of Directors of Cohere Communications, LLC, a provider of integrated IP voice and internet solutions. Mr. Rosen graduated Johns Hopkins University in 1985 with a Bachelor of Arts Degree.

Jack D. Seibald
Managing Director

Mr. Seibald is a Managing Director of Concept Capital, a division of Sanders Morris Harris Inc. and has been affiliated with the firm and its predecessors since 1995. Mr. Seibald has extensive experience in equity research, investment management, and prime brokerage services dating back to 1983. From 1997 to 2005, Mr. Seibald was also a Managing Member of Whiteford Advisors, LLC, an investment management firm, where as co-founder he co-managed several pools of funds. He began his career at Oppenheimer & Co. and has also been affiliated with Salomon Brothers, and Morgan Stanley & Co. Mr. Seibald also operated The Seibald Report, Inc., an independent research firm specializing in the retailing sector. Mr. Seibald serves as a member of the Board of Directors of Kingstone Companies, Inc. a publicly traded insurance holding company, and of Kingstone Insurance Company, a New York property and casualty insurer. He holds an M.B.A. from Hofstra University and a B.A. from George Washington University.

Robert E. Moore
Managing Director

Mr. Moore is a Managing Director of Concept Capital, a division of Sanders Morris Harris Inc. and leads the firm’s Institutional Sales, Trading and Research effort. Mr. Moore joined Concept Capital following a three decade career in the investment business that began on the floor of the New York Stock Exchange and included years of experience as a trader, manager, and senior executive at Citigroup Global Markets, Inc., including its predecessor firms Smith Barney, Inc. and Salomon Smith Barney, Inc. Since becoming a Managing Director in 1987, Mr. Moore’s responsibilities expanded to include oversight for Citigroup Global’s Listed Equity Trading Desk and later the Listed Block and NASDAQ Trading Desks. In 1993, Mr. Moore was promoted to Head of Citigroup Global’s NASDAQ Division which encompassed sales trading, agency trading, retail sales and the 19c3 Desk. Following Smith Barney Inc.’s merger with Salomon Inc. in 1998, Mr. Moore was named co-Head of Global Trading. The following year, Mr. Moore became Head of U.S. Equities with responsibilities including, Institutional Sales, Capital Markets, Trading and Derivatives. As co-Head of Global Trading, Mr. Moore was responsible for Salomon Smith Barney’s and later Citigroup Global’s entire Global Trading Platform which included trading desks in New York, Boston, Atlanta, Dallas and San Francisco, London, Hong Kong, Tokyo and Australia. In response to rapidly changing technology advances, in 2001 Mr. Moore became the Head of Citigroup Global’s Global E-Commerce and Global Technology for the Equity Division. In this position Mr. Moore was responsible for all internal and external electronic equity platforms such as Global Equities Online (“GEO”) and GEO Trader. Mr. Moore also oversaw the development of Citigroup Global’s Equity Division’s wireless capabilities and Customer Relationship Management (“CRM”) system. Mr. Moore held this position until 2003 when he returned to run Citigroup Global’s Equity Trading Division. As head of Trading for Citigroup Global’s US Equity Division, Mr. Moore was responsible for the ultimate supervision of over 500 persons and had approximately ten Managing Directors reporting directly to him. Since retiring from Citigroup in 2004, Mr. Moore co-founded Cap-Rio Management, a private equity firm that has made several investments in the wealth management and independent research businesses, and also served as CEO of Constellation Wealth Advisors, a newly created broker-dealer.

Neil Shaughnessy
Chief Operating Officer

Mr. Shaughnessy has been affiliated with Concept Capital and its predecessors since 1998 and currently serves as Chief Operating Officer, with primary responsibility for broker-dealer operations and compliance. Mr. Shaughnessy has been involved in the financial services industry since 1986 and has extensive experience in operations. Before joining SMH Capital as VP of Operations and CIO, Mr. Shaughnessy was a Senior Vice President at Principal Financial Securities, managing the Branch Support and Trading Support groups. Prior to that, he worked at Prudential Securities’ Wexford Clearing Subsidiary as conversion coordinator and director of new product development. Earlier in his career, Mr. Shaughnessy served as the project coordinator for the administrative division of Prudential Securities for several years. Before that, he worked in various capacities in Prudential’s Operations group in a number of departments, including Retirement Plans, Order Room/P&S, OTC trading support, International Operations and Securities Lending.

Anthony Gallo
Senior Vice President

Mr. Gallo has been affiliated with Concept Capital and its predecessors since 2002 and currently serves as Senior Vice President, with primary responsibility for fund accounting and administration. Mr. Gallo has been involved in financial services since 1984 and has extensive experience in fund accounting, having served as Acting Chief Financial Officer of Grey K Funds, an investment manager focused on alternative energy resources, Chief Financial Officer of Whiteford Advisors, LLC, an investment management firm focused on long/short strategies in the consumer sector, and as Controller of SAC Capital Advisors and Controller of Abacus & Associates Inc. Earlier in his career, Mr. Gallo worked as an accountant at Richard A. Eisner. Mr. Gallo graduated from Hofstra University with a B.A. in accounting and he received his MBA from Adelphi University.

Thomas Schirripa
Senior Vice President

Mr. Schirripa has been affiliated with Concept Capital and its predecessors since 1992 and currently serves as Senior Vice President, with primary responsibility for fund accounting and administration as well as broker-dealer financial operations. Mr. Schirripa has been involved in financial services since 1985 and has extensive experience in broker dealer, asset management, and hedge fund accounting. Following seven years in public accounting serving the investment industry, Mr. Schirripa joined our predecessor firm as its controller, and was intimately involved in the early stages of development of the firm’s move into the prime brokerage arena. Since then, Mr. Schirripa has been an integral part of the management team that has implemented state-of-the-art fund accounting and administration systems that serve our clients today. Mr. Schirripa received his accounting degree as a graduate of Long Island University at CW Post in 1985.

John Watras
Senior Vice President

Mr. Watras has been affiliated with Concept Capital and its predecessors since 1996 and currently serves as Senior Vice President, with primary responsibility for sales and marketing of the firm’s prime brokerage services. Earlier in his tenure with the firm, Mr. Watras worked in institutional sales and distributed in-house and independent research, developed a soft dollar business, and raised capital for hedge funds. Prior to joining the firm, Mr. Watras served as a director of institutional sales at the New York Stock Exchange, covering major money management firms as well as corporations. Prior to that, Mr. Watras worked for P.R. Burke and Company, where he took part in institutional sales, money management for corporations (dividend capture) and raised monies from institutions for traditional money management firms. Mr. Watras holds a Bachelors degree in Business Administration from Hofstra University.