finra

FINRA Small Firm Advisory Board


The Small Firm Advisory Board (SFAB) is an advisory committee established by the NASD Board of Governors in 1998. The SFAB ensures that issues of particular interest and concern to small firms are effectively communicated to and considered by the FINRA Board of Governors. The SFAB reviews and comments on all new and amended FINRA rule proposals, and provides guidance to FINRA staff regarding the potential impact of proposed regulatory initiatives on FINRA's small firms.

The SFAB is comprised of 10 members, five at-large members appointed by FINRA's Board of Governors, and five members elected by the small firms - one member in each of the five FINRA regions. FINRA's three small firm representatives to the Board of Governors serve as ex-officio members of the SFAB. In addition, all SFAB members are affiliated with firms employing no more than 150 registered representatives and are senior executives at their firm.

 

See also:

 

Small Firm Advisory Board Members

 

Joseph R.V. Romano (Chair)
Romano Brothers & Co.
Evanston, IL
(847) 866-7700

Victoria Bach-Fink
Wall Street Financial Group, Inc.
Fairport, NY
(585) 267-8000

 

Betsy B. Brennen

Harbor Investment Advisory, LLC
Baltimore, MD
(410) 659-8906

 

Myles Edwards
Shufro, Rose & Co., LLC
New York, NY
(646) 517-1184

 

Karen Fischer

BG Strategic Advisors
West Palm Beach, FL
(561) 483-6335

 

John I. Fitzgerald
Leerink Partners, LLC
Boston, MA
(617) 918-4564

 

Stephen Hart
Robotti & Company
New York, NY
(212) 986-4800

 

Christopher Melton
Coastal Securities Inc.
Houston, TX

(713) 435-4464
 

Dock David Treece
Treece Financial Services Corp.
Toledo, OH
(419) 843-7744

 

Hardeep Walia
Motif Investing
San Mateo, CA
(650) 251-4418

 


Kevin A. Carreno (Ex-Officio)
International Assets Advisory, LLC
Orlando, FL

Mark Cresap (Ex-Officio)
Cresap, Inc.
Radnor, PA

Robert Keenan (Ex-Officio)
St. Bernard Financial Services
Russellville, AR

 




 

    Last Updated: 10/15/2014