FINRA District Offices

 

 

District 1 - San Francisco

 

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

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Donald K. Lopezi, 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, 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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Joseph M. McCarthy, 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, 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


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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Jeffrey M. Pasquerella, Regional Director

Keith E. Hinrichs, 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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Jeffrey M. Pasquerella, Regional Director

Erin C. Vocke, District 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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Jeffrey M. Pasquerella, Regional Director

Daniel J. Stefek, Director


Georgia, North Carolina and South Carolina

 


 

District 7 - Boca Raton

 

Crystal Corporate Center

2500 N. Military Trail, Suite 302

Boca Raton, FL 33431-6324

(561) 443-8000

Fax: (561) 443-7995

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Jeffrey M. Pasquerella, 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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Carla A. Romano, 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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Gary K. Liebowitz, 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, 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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Michael Solomon, Regional Director

Thomas J. Drogan, Interim District Director


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

 

Risk Oversight & Operational Regulation
One World Financial Center
200 Liberty Street
New York, NY 10281

 


 

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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Thomas J. Drogan, Deputy District Director

 


 

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, Director


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

 


 

 

Last Updated: 11/27/2013