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FINRA Regional Committees

The Regional committees advise FINRA on industry trends of regulatory concern, provide input on the impact of FINRA’s regulatory programs and communicate high-level information regarding meeting discussions to their constituents. Additionally, committee members serve as panelists in FINRA disciplinary proceedings. The committees are organized into the following regions: West (Districts 1, 2 and 3); Midwest (Districts 4 and 8); South (Districts 5, 6 and 7); North (Districts 9 and 11); and New York (District 10).

Regional Committee members are interested in your comments and questions regarding FINRA’s regulatory programs. You may email your comments and questions directly to a committee member in your region (or district) by clicking a committee member’s name. View a list of our district office locations.

2024 Committee Rosters

West Region

NameFirmLocationDistrict
Ashley AdkinsCash App Investing LLCPortland, ORDistrict 3
Brad AndersonDFPG Investments, LLCSandy, UTDistrict 3
Dave BanerjeeSecond Street Securities, Inc.Woodland Hills, CADistrict 2
Travis BatorIndependent Financial Group LLCSan Diego, CADistrict 2
Harriet BrittUnion Square AdvisorsSan Francisco, CADistrict 1
Daren BryanEmpower Financial Services, Inc.Marana, AZDistrict 3
Brian BuehlerTriton Pacific SecuritiesDana Point, CADistrict 2
Chris CharlesWulff Hansen & Co.San Rafael, CADistrict 1
Michael FriedmanAlbert Securities LLCSanta Barbara, CADistrict 2
Joe HelmerCaldwell Sutter Capital, Inc.Sausalito, CADistrict 1
Kent LundGVC Capital LLCGreenwood Village, CODistrict 3
Jonathan MatthewsWealthfront BrokeragePalo Alto, CADistrict 1
Ken MuraokaCetera Advisor NetworksEl Segundo, CADistrict 2
Jason RivesFigure Securities IncLas Vegas, NVDistrict 1
Ann RobinsonFarmers FinancialWestlake Village, CADistrict 2
Katrina Santa MariaM.S. Howells & Co.Scottsdale, AZDistrict 3
Robert WrubelCascade Investment Group, Inc.Colorado Springs, CODistrict 3

Mid-West Region

NameFirmLocationDistrict
Mason BurnhamWells Fargo Advisors Financial Network, LLCSt. Louis, MODistrict 4
Kim ChapmanBerthel, Fisher & Company Financial Services, Inc.Cedar Rapids, IADistrict 4
Kenneth CherrierFidelity & Guaranty Securities, LLCDes Moines, IADistrict 4
Jon V. CherryNorthern Trust Securities, Inc. Chicago, ILDistrict 8
Scott IronsideRobert W. Baird & Co. IncorporatedLouisville, KYDistrict 8
Matthew KinsellaAmeritas Investment Company, LLCLincoln, NEDistrict 4
Stephen MackMack Investment Securities, Inc.Northfield, ILDistrict 8
Willson RasavongxayWilliam BlairChicago, ILDistrict 8
John SzwagulakHuntington Securities, Inc.Cleveland, OHDistrict 8
Eric WolfmanKeyBanc Capital Markets, Inc.Cleveland, OHDistrict 8
Steve YouhnCambridge Investment Research, Inc.Fairfield, IADistrict 4

North Region

NameFirmLocationDistrict
Lisa CliffordTritower Real Estate Capital, LLCBoston, MADistrict 11
Caroline HallJanney Montgomery ScottPhiladelphia, PADistrict 9
Nancy HeffnerLincoln InvestmentFort Washington, PADistrict 9
Andrew KurianHedgebay Securities LLCWestport, CTDistrict 11
Samantha LarewManning & Napier Investor Services, Inc.Fairport, NYDistrict 9
Stephanie MumfordT. Rowe Price Investment Services, Inc.Owings Mills, MDDistrict 9
Dianna PerlmanVP Distributors LLCHartford, CTDistrict 11
Matthew J. SugdenCommonwealth Financial NetworkWaltham, MADistrict 11
Mark TrabuccoState Street Global Markets, LLCBoston, MADistrict 11
Douglas WrightThe Investment Center, Inc.Bedminster, NJDistrict 9

New York Region

NameFirmLocationDistrict
Gil AikinsKepler Capital Markets, Inc.New York, NYDistrict 10
DiAnne CalabrisottoSiebert Williams Shank & Co., LLCNew York, NYDistrict 10
Vincent IannuzziBeech Hill Securities, Inc.New York, NYDistrict 10
Jack KeatingWebull Financial LLCNew York, NYDistrict 10
Chad KirschenblattLSH Partners Securities LLCNew York, NYDistrict 10
Dean ParkBTG Pactual US Capital, LLCNew York, NYDistrict 10
John ParmigianiAllied Millennial Partners, LLCNew York, NYDistrict 10
James PortBroadridge Business Process Outsourcing, LLCNew York, NYDistrict 10
Anthony SavareseXTX Execution Services LLCNew York, NYDistrict 10
Osamu WatanabeMoelis & Company, LLCNew York, NYDistrict 10
Brian WoldowBetterment SecuritiesNew York, NYDistrict 10

South Region

NameFirmLocationDistrict
Sid BanksSt. Bernard Financial Services, Inc.Jonesboro, ARDistrict 5
Shawn BarkoRaymond James & Associates, Inc.St. Petersburg, FLDistrict 7
Debby BicanicHilltop Securities, Inc.Dallas, TXDistrict 6
Shauna BlakeLPL FinancialFort Mill, SCDistrict 7
Nikki BrinkerhoffCarty & Co. Inc.Plantation, FLDistrict 7
Harold G. ChaffeeTriad Advisors LLCNorcross, GADistrict 7
Don ChaneyStephens Inc.Little Rock, ARDistrict 5
Trey CordleP.J. Robb Variable, LLCRichmond, VADistrict 5
Sharon DyerSt. Bernard Financial Services, Inc.Russellville, ARDistrict 5
Trisha HancockInvesco Capital Markets, Inc.Houston, TXDistrict 6
Paula HeffronFirst Citizens Investor Services, Inc.Raleigh, NCDistrict 7
William C. HooverSteward Securities Group LLCHouston, TXDistrict 6
Jim MuirUSAA Investment Services CompanySan Antonio, TXDistrict 6
Selwyn NotelovitzDFA Securities LLCAustin, TXDistrict 6
Michael OxleyApex Clearing Corp.Dallas, TXDistrict 6
Kurt SimsFirst Citizens Investor Services, Inc.Jacksonville, ARDistrict 5
Alyson StevensWiley Bros. Aintree Capital & PartnersNashville, TNDistrict 5
Jim WebbAmerican Global Wealth Management, Inc.McDonough, GADistrict 7