FINRA District Offices

 

District Map

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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Lance Burkett, 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
Edward Wegener, 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 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) 827-6100
Fax: (516) 827-6101
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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