FINRA District Offices

 

 

District 1 - San Francisco

 

Mailing Address:
One Montgomery Street, Suite 2100
San Francisco, CA  94104
(415) 217-1100
Fax: (415) 956-1931
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Physical Address:

Member Regulation
120 Kearny Street, Suite 2100
San Francisco, CA 94104
(415) 217-1100
Fax: (415) 956-1931
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Market Regulation
220 Montgomery Street
Suite 200
San Francisco, CA 94104
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Donald K. Lopezi, Vice President and Regional Director


Northern California (the counties of Monterey, San Benito, Fresno, and Inyo, and the remainder of the state north or west of such counties), northern Nevada (the counties of Esmeralda and Nye, and the remainder of the state north or west of such counties) and Hawaii

 


 

District 2 - Los Angeles

 

300 South Grand Avenue, Suite 1600
Los Angeles, CA 90071-3126
(213) 229-2300

Fax: (213) 617-3299

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David A. Greene, District Director
Donald K. Lopezi, Vice President and Regional Director


Southern California (that part of the state south or east of the counties of Monterey, San Benito, Fresno, and Inyo), southern Nevada (that part of the state south or east of the counties of Esmeralda and Nye) and the former U.S. Trust Territories

 


 

District 3 - Denver

 

4600 S. Syracuse Street

Suite 1400
Denver, CO 80237
(303) 446-3100
Fax: (303) 620-9450

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Gerald Dougherty, Deputy District Director

Donald K. Lopezi, Vice President and Regional Director


Arizona, Colorado, New Mexico, Utah and Wyoming

 


 

District 3 - Seattle

 

Two Union Square

601 Union Street, Suite 1616
Seattle, WA 98101-2327
(206) 624-0790
Fax: (206) 623-2518

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Lance Burkett, District Director
Donald K. Lopezi, Vice President and Regional Director


Alaska, Idaho, Montana, Oregon and Washington

 


 

District 4 - Kansas City

 

12 Wyandotte Plaza

120 West 12th Street, Suite 800
Kansas City, MO  64105-1930
(816) 421-5700
Fax: (816) 421-5029

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R. Scott DeArmey, District Director
Carla A. Romano, Senior Vice President and Regional Director


Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota and South Dakota 

 


 

District 5 - New Orleans

 

1100 Poydras Street
Energy Center, Suite 850
New Orleans, LA 70163-0802
(504) 522-6527
Fax: (504) 522-4077

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Erin C. Vocke, Vice President and District Director
Jeffrey M. Pasquerella, Vice President and Regional Director


Alabama, Arkansas, Louisiana, Mississippi, Oklahoma and Tennessee

 


 

District 6 - Dallas

 

12801 North Central Expressway, Suite 1050
Dallas, TX 75243-1778
(972) 701-8554
Fax: (972) 716-7646

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Erin C. Vocke, Vice President and District Director
Jeffrey M. Pasquerella, Vice President and Regional Director


Texas

 


 

District 7 - Atlanta

 

One Securities Center, Suite 500
3490 Piedmont Road, NE
Atlanta, GA 30305-4808
(404) 239-6100
Fax: (404) 237-9290

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Daniel J. Stefek, District Director
Jeffrey M. Pasquerella, Vice President and Regional Director


Georgia, North Carolina and South Carolina

 


 

District 7 - Boca Raton

 

5200 Town Center Circle
Suite 200
Boca Raton, FL 33486

 

(561) 443-8000

Fax: (561) 443-7995

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Yvette Panetta, Deputy District Director
Jeffrey M. Pasquerella, Vice President and Regional Director


Florida, Puerto Rico, Panama and the Virgin Islands

 


 

District 8 - Chicago

 

55 West Monroe Street
Suite 2700
Chicago, IL 60603-5052
(312) 899-4400
Fax: (312) 606-0742

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Edward Wegener, Vice President and District Director

Carla A. Romano, Senior Vice President and Regional Director


Illinois, Indiana, Kentucky, Michigan, Ohio and Wisconsin

 


 

District 9 - New Jersey

 

581 Main Street, 7th floor
Woodbridge, NJ 07095-1164
(732) 596-2000
Fax: (732) 596-2001

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Joseph J. Sheirer, District Director
Michael Solomon, Senior Vice President and Regional Director


New Jersey and New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City)

 


 

District 9 - Philadelphia

 

1835 Market Street, Suite 1900
Philadelphia, PA 19103-2929
(215) 665-1180
Fax: (215) 496-0434

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Robert B. Kaplan, Vice President and District Director
Michael Solomon, Senior Vice President and Regional Director


Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia and West Virginia

 


 

District 10 - New York

 

One World Financial Center
200 Liberty Street
New York, NY 10281
(212) 858-4000
Fax: (212) 858-4189

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William St. Louis, District Director
Michael Solomon, Senior Vice President and Regional Director


New York

 


 

District 10 - Long Island

 

Two Jericho Plaza

2nd Floor, Wing A
Jericho, NY 11753-1658
(516) 949-4200
Fax: (516) 949-4201

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Evelyn Kriegel, Deputy District Director
Michael Solomon, Senior Vice President and Regional Director

 

Nassau and Suffolk Counties, Bronx, Brooklyn, Queens and  Staten Island 

 


 

District 11 - Boston

 

99 High Street
Suite 900
Boston, MA 02110
(617) 532-3400
Fax: (617) 451-3524

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Elizabeth F. Page, Vice President and District  Director
Michael Solomon, Senior Vice President and Regional Director


Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island and Vermont

 


 

 

Last Updated: 8/5/2014