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

 

Patricia S. Bartholomew (Chair)
Craig-Hallum Capital Group LLC
Minneapolis, MN
(612) 334-6370

Eric A. Bederman
Bernardi Securities, Inc.
Chicago, IL
(312) 281-2010

 

Betsy B. Brennen

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

 

Christopher Charles
Wulff, Hansen & Co.
San Francisco, CA
(415) 421-8900


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

 

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

 

Timothy Morton
TCFG Wealth Management, LLC
Laguna Niguel, CA
(949) 365-5830

 

Joseph R.V. Romano
Romano Brothers & Co.
Evanston, IL

(847) 866-7700
 

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

 

David W. Wiley, III
Wiley Bros. – Aintree Capital, LLC
Nashville, TN
(615) 252-6200

 



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

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

 

Kenneth Norensberg (Ex-Officio)
Luxor Financial Group
New York, NY




 

    Last Updated: 12/31/2013