Ms. Castle joined NMS Capital Advisors, LLC in 2018 as Director of Wealth Management where her practice focuses on providing ethical and approachable financial planning and investment management services to individuals and business owners. In addition, Ms. Castle is the founder of Castle Wealth Advisors, LLC, a registered investment advisor. Ms. Castle has more than ten years of experience in the financial services industry previously working with Fidelity Brokerage Services, LLC, Stifel, Nicolaus & Co., Morgan Keegan and Sterne, Agee and Leach.
She holds the following financial designations, CFP® (Certified Financial Planner), ChFC® (Chartered Financial Consultant) and AIF® (Accredited Investment Fiduciary). She is a graduate of the University of Alabama, with a B.S. in Finance and Manderson School of Business, MBA. She holds the following licenses; Series 7, 9, 10 and 66 and Life, Health and Variable Insurance.
Dooley, CPA, Brad — CFO / FinOP
Ms. Geller is Managing Director of NMS Capital Advisors, which together with NMS Capital Asset Management is an organization that provides Global Capital Advisory™ services providing investment banking, mergers and acquisitions, strategic advisory and consulting, private equity and asset management advisory services to public and private clients throughout the world. In addition, Ms. Geller is a licensed attorney admitted to both the California and New York bar, where she is Special Counsel at Duane Morris, a global law firm.
Prior to joining NMS, Ms. Geller was Deputy General Counsel and Investment Banker at MLV & Co., a leading investment bank. Prior to that, she was an Associate with DLA Piper.
Ms. Geller received both her Bachelor’s and Juris Doctorate degrees from Temple University.
Ms. Lavender-Mayes is Executive Vice President and Operations for NMS Capital Advisors and NMS Capital Asset Management which together is an organization that provides Global Capital Advisory™ services providing investment banking, mergers and acquisitions, strategic advisory and consulting, private equity and asset management advisory services to public and private clients throughout the world.
Ms. Lavender-Mayes joined NMS in 2014 as a Compliance Consultant and in March 2015 as the firm’s Chief Compliance Officer. She currently is responsible for the firm’s compliance and back-office operations oversight. Ms. Lavender-Mayes has served in both compliance and operational capacities for both independent and leading firms, including Harbor Financial Services, Morgan Stanley and Merrill Lynch. Ms. Lavender-Mayes served in the United States Army as a Non-Commissioned Officer from 1989-1997 at various duty stations both in Europe and the United States.
Mrs. Lavender-Mayes is an experienced executive and registered principal with over 18 years in the financial services industry, ranging from compliance, supervision, sales and operations with a focus on the implementation of industry regulations and compliance guidelines to establish effective controls and risk management. Her experience in the industry has provided her with excellent knowledge of relevant rules, regulations, procedures, and possessing overall business approach to problem solving. She has an in depth knowledge of asset management compliance, marketing reviews, compliance testing and training. With her 18 plus years in the industry, she has become a compliance expert and handled many regulatory examinations with the SEC and FINRA. In 2016 she was selected by FINRA to serve in their Arbitrator Program. She currently holds a Series 4, 7, 24, 28, 53, 66, 82, and 99. She is also insurance licensed in Property & Casualty lines as well as Life & Health and Variable Annuity.
Meislik, Adam — Managing Director
Roffi, Umberto — Controller
Mr. Tandon, who is based in Los Angeles, is the Managing Director, India and Middle Eastern Markets and the EB5 Private Client Group with of NMS Capital Advisors, which together with NMS Capital Asset Management is an organization that provides Global Capital Advisory™ services providing investment banking, mergers and acquisitions, strategic advisory and consulting, private equity and asset management advisory services to public and private clients throughout the world. Mr. Tandon, who is also a licensed attorney, also serves as the founder and CEO of EB5 BRICS, an immigration consulting firm focused on educating investors about the U.S. Immigrant Investor Visa Program from India and the Middle East.
Prior to joining NMS, Mr. Tandon worked as an in-house attorney overseeing contractual matters and acted as the business development head of a legal technology and services outsourcing company that was based in India where he learned the intricacies of how business and law come together to impact a company’s bottom line. Mr. Tandon has vast experience as a litigation lawyer and worked at a national firm in Los Angeles litigating consumer protection matters. As a public defender, he represented parents in juvenile courts in Los Angeles and Santa Clara Counties.
Mr. Tandon received his law degree from Suffolk University School of Law, and in addition to working for his Immigration Law professor, he interned at the Los Angeles County District Attorney’s office assisting in criminal prosecution matters. He holds a Bachelor in Finance and Business Administration from California State University Long Beach. Mr. Tandon is very active in the South Asian Bar Association of Southern California and The Indus Entrepreneurs and has served on the executive board of the North American South Asian Bar Association. He is fluent in Hindi and Punjabi.
Mr. Tosbath is Senior Managing Director of NMS Capital Advisors and NMS Capital Asset Management which together is an organization that provides Global Capital Advisory™ services providing investment banking, mergers and acquisitions, strategic advisory and consulting, private equity and asset management advisory services to public and private clients throughout the world. In addition, he is the Founder and Chief Executive Officer of The Davenport Group and Specialized Capital Management, a private equity and specialty finance company.
Mr. Tosbath has over 20 years of experience in the international financial markets. He concluded Republic National Bank of New York’s management training program in 1985 and joined their International Lending Department, concentrating on developing banking relationships in Europe and was a member of the credit committee. Subsequently, Mr. Tosbath joined the capital markets group of the bank and traded international bonds. He became Manager of the International Capital Markets group and was responsible for sales and trading. In 1991, he joined Swiss Bank Corporation as Director of fixed-income sales in New York and was responsible for US global investor coverage for cash and derivative products. He was transferred to London to rebuild SBC’s fixed income presence in the Middle East region. In 1997, he joined Gfta analytics in London as Managing Director, head of marketing for the Middle East and was a member of their Executive Board. He was a principal of Bengal Partners, a NASD registered broker dealer, and of Bengal Capital Management, a Registered Investment Advisor from June 1999 to November 2000.
Mr. Walters brings to NMS more than 25 years of investment banking, advisory and senior management experience. From 1992 through 2000 he was Executive Vice President, Managing Director and an equity partner in charge of the capital markets group for Roth Capital Partners (formerly Cruttenden Roth) where he was instrumental in growing the firm’s annual revenue $7 million to $65 million. In his leadership role, he directly oversaw and led over 100 public and private financings raising over $2 billion in growth capital. In 2006, he co-founded Monarch Bay Securities (now known as Boustead Securities) in follow up to his role as a principal with Monarch Bay Capital Group, a firm that provided advisory services and capital for emerging growth companies. Prior to Roth Capital, Mr. Walters was a vice president for Drexel Burnham Lambert and Donaldson, Lufkin and Jenrette in Los Angeles.