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2023 FINRA Regional Committee Election

On October 23, 2023, FINRA announced the Regional Committee election. Firms in Districts with contested elections (Districts 2, 3, 4, 6, 7, 8, 9 and 10) will receive ballots via email from [email protected] to vote in this election (hard copy ballots will also be mailed to these firms). Voting concludes on November 22, 2023, and the newly elected Regional Committee members will take office in January 2024. (Ballots were not mailed for uncontested seats.)

Each candidate was provided an opportunity to submit a biography and personal statement. FINRA has posted the candidates' information for all contested and uncontested seats to help firms learn more about each candidate in their region.

Firms in Districts 2, 3, 4, 6, 7, 8 and 9 may vote for two candidates for the seats corresponding to their District. Firms in District 10 may vote for four candidates.


To review the candidates, please click on the links below.

Midwest Region Committee/District 4 Representative Candidates* (contested) – Two seats available
Kenneth CherrierChief Compliance OfficerFidelity & Guaranty Securities, LLC
Matthew J. KinsellaVice President and Chief Compliance OfficerAmeritas Investment Company, LLC
Steve YouhnChief Compliance OfficerCambridge Investment Research

(*Paul Maniffa, Manager – Business Compliance & Risk Controls, Ameriprise Financial, Inc. withdrew as a candidate.)


Midwest Region Committee/District 8 Representative Candidates (contested) – Two seats available
Jon V. CherryPresident & Head of North America BrokerageNorthern Trust Securities, Inc.
Tim GrahamPresidentPrivate Client Services, LLC
Randolph F. PistorChief Legal OfficerSigma Financial Corporation
John SzwagulakChief Compliance OfficerHuntington Securities, Inc.
Eric WolfmanDeputy CCO, Senior Vice President and Compliance DirectorKeybanc Capital Markets, Inc.


New York Region Committee/District 10 Candidates (contested) – Four seats available
Dennis AzaryDeputy Chief Compliance OfficerFinalis Securities LLC
Lawrence S. BlockPresident and Chief Compliance OfficerAnubis Securities LLC
DiAnne CalabrisottoChief Operating Officer and Chief Compliance OfficerSiebert Williams Shank & Co., LLC
Steven JafarzadehCCO & PartnerStonehaven, LLC
John KeatingChief Compliance OfficerWebull Financial
Dean ParkChief Compliance OfficerBTG Pactual US Capital, LLC
Bishen PertabPresident, CEO & CCOICICI Securities Inc.
Stephen SikesChief Executive OfficerPublic Investing
Osamu WatanabeGeneral Counsel and Chief Compliance OfficerMoelis & Company LLC


North Region Committee/District 9 Candidates (contested) – Two seats available 
Richard J. Carlesco Jr.CEO/RecruitingIBN Financial Services, Inc. 
Jason GerbSVP, Chief Regulatory OfficerOsaic Wealth, Inc.
Caroline K. HallChief Compliance Officer and Deputy General CounselJanney Montgomery Scott 
Jeff JohnsonChief Compliance OfficerPacer Financial, Inc. 
Nick LeightonAssociate Chief Compliance OfficerHornor, Townsend & Kent, LLC 
Stephanie MumfordChief Compliance Officer/Managing Legal CounselT. Rowe Price Investment Services, Inc. 
Jeffrey PasquerellaGlobal Chief Legal OfficerDrivewealth LLC 
North Region Committee/District 11 Candidate (uncontested) – Two seats available
Diana PerlmanDeputy Chief Compliance OfficerVP Distributors, LLC


South Region Committee/District 5 Candidate (uncontested) – Two seats available
Alyson Mencio StevensChief Compliance OfficerWiley Bros.-Aintree Capital &Partners, LLC


South Region Committee/District 6 Candidates (contested) – Two seats available
Debby BicanicHead of Supervision, Fixed Income Capital MarketsHilltop Securities, Inc
Veronica HammondSenior Vice President, Chief Compliance OfficerFirst Command Brokerage Services, Inc.
Jim MuirChief Compliance OfficerUSAA Investment Services Company
Chris NeidlingerChief Compliance Officer and AML OfficerInstitutional Securities Corporation
Mike PedlowChief Compliance OfficerKestra Financial
Tarah WilliamsPresident & Chief Operating OfficerProspera Financial Services


South Region Committee/District 7 Candidates (contested) – Two seats available
Shauna BlakeSenior Vice President, Head of SupervisionLPL Financial
Scot GalvinSr. Director and Chief Operating OfficerRobinhood Securities LLC
Paula HeffronChief Compliance OfficerFirst Citizens Investor Services, Inc.
Joquinn T. SadlerCEONortlov Securities, LLC
Robert SykesChief Compliance OfficerAlly Invest Securities LLC


West Region Committee/District 1 – no candidates (uncontested) – Two seats available


West Region Committee/District 2 Candidates (contested) – Two seats available
Travis L. BatorChief Compliance OfficerIndependent Financial Group LLC
John CalicchioPresident/CEOICON Capital Group, LLC
Michael KaneCEO, ER, CCO, AML, BCP, CETransactionDrivers LLC dba Kane & Company
Darius LashkariCCO / AMLCOInvestment Placement Group
Mark QuinnDirector of Regulatory AffairsCetera Advisor Networks, LLC
Ann RobinsonChief Compliance OfficerFarmers Financial Solutions, LLC


West Region Committee/District 3 Candidates (contested) – Two seats available
Daren BryanManager, Branch Office Compliance/Inspections TeamEmpower Financial Services, Inc.
Janice HernandezCompliance OfficerWilson-Davis & Co., Inc.
Michael S. SchoonmakerPresident of M Holdings SecuritiesM Holdings Securities
Jacob StewartChief Compliance OfficerSaturna Brokerage Services
Robert WrubelPresidentCascade Investment Group, Inc.