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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 map of our district office locations.

2019 Committee Rosters

West Region

Name Firm Location District
Sally Aelion Sutter Securities, Inc. San Francisco, CA District 1
Alan Carlisle SoFi Securities LLC San Francisco, CA District 1
Chris Charles Wulff, Hansen & Co. San Rafael, CA District 1
Mark Howells M.S. Howells & Co. Scottsdale, AZ District 3
Suzann LoCoco CUSO Financial Services, L.P. San Diego, CA District 2
Teresa Luiz GWFS Equities Inc Greenwood Village, CO District 3
Audrey McMahon Ares Investor Services LLC Los Angeles, CA District 2
Robert Molinari Commonwealth Financial Network San Diego, CA District 2
Stephen Murphy Armory Securities, LLC Manhattan Beach, CA District 2
Sally Palmer Qatalyst Partners LP San Francisco, CA District 1
Mark Quinn First Allied Securities, Inc. San Diego, CA District 2
Greg A. Ruppert Charles Schwab & Co. Inc. San Francisco, CA District 1
Joanne M. Salisbury EK Riley Investments, LLC Seattle, WA District 3
Robert Salvador Motif San Mateo, CA District 1
Alexis Schumann SagePoint Financial, Inc. Phoenix, AZ District 3
Harry Striplin Paulson Investment Company, LLC Portland, OR District 3
Dan Thomas Independent Financial Group, LLC San Diego, CA District 2
Michelle Thomas WBB Securities, LLC San Diego, CA District 2
Daniel Weingarten SageTrader San Francisco, CA District 1

Mid-West Region

Name Firm Location District
Stephen Berkeley Loop Capital Markets, LLC Chicago, IL District 8
Patrick Dogan Edward Jones St. Louis, MO District 4
Brett Flansburg Ameriprise Financial Services, Inc. Minneapolis, MN District 4
Jeffry Freiburger Robert W. Baird & Co. Incorporated Milwaukee, WI District 8
Amy Guthrey Burch & Company, Inc. Kansas City, MO District 4
Elizabeth Hansen Waddell & Reed Overland Park, KS District 4
Elizabeth Kaplan J.J.B Hilliard, W. L. Lyons, LLC Louisville, KY District 8
Trinity Lee Heim, Young & Associates, Inc. Springfield, MO District 4
Kevin Miller Securities America, Inc. La Vista, NE District 4
Chuck Millington Millington Investments, LLC Naperville, IL District 8
Matthew Rothchild Advanced Advisor Group, LLC Cambridge, MN District 4
Peter Schwartz Gregory J. Schwartz & Co., Inc. Bloomfield, MI District 8

North Region

Name Firm Location District
Nanette Chern Funds Distributor, LLC Portland, ME District 11
John Cooney Infinex Investments, Inc. Meriden, CT District 11
Nancy Heffner Lincoln Investment Fort Washington, PA District 9
Sheelagh Howett Cantella & Co. Inc. Boston, MA District 11
Stephanie Peters Mumford T. Rowe Price Investment Services, Inc. Baltimore, MD District 9
Richard O’Brien National Financial Services, LLC Boston, MA District 11
Page H. Pennell AXA Advisors, LLC New York, NY District 9
Paul Tolley Commonwealth Financial Network Waltham, MA District 11
Mark Trabucco State Street Global Markets, LLC Boston, MA District 11
Steven Trigili Garden State Securities, LLC Red Bank, NJ District 9
Douglas Wright The Investment Center, Inc. Bedminster, NJ District 9

New York City Region

Name Firm Location District
Erin Baskett Market Securities, LLC New York, NY District 10
Stephen Distante Vanderbilt Securities, LLC Woodbury, NY District 10
Jay Gettenberg LiquidityEdge, LLC New York, NY District 10
Jason Gerb Foresters Financial Services, Inc. New York, NY District 10
Joshua Hergan Park Avenue Securities LLC New York, NY District 10
Steven Jafarzadeh Stonehaven, LLC New York, NY District 10
John Parmigiani Allied Millennial Partners, LLC New York, NY District 10
Howard Sendrovitz J.P. Morgan Securities, LLC New York, NY District 10
David Shields Wellington Shields & Co. LLC New York, NY District 10
John Weitzer HSBC Securities (USA) Inc. New York, NY District 10

South Region

Name Firm Location District
Kirk Bell Raymond James Financial Services, Inc. St. Petersburg, FL District 7
Eric Chartan HD Vest Investment Services Irving, Tx District 6
Abel Garcia, Jr. Prospera Financial, Inc. Dallas, TX District 6
Cade Hamner Commerce Street Capital, LLC Dallas, TX District 6
Robert Keenan St. Bernard Financial Services, LLC Russellville, AR District 5
Carol Ann Kinzer Piedmont Securities LLC Alpharetta, GA District 7
Mimi LeGaye Moody Securities, LLC Houston, TX District 6
Damon Meyer Crews & Associates Little Rock, AR District 5
Michael Pagano 1st Global Capital Corp. Dallas, TX District 6
Michael Pedlow Kestra Investment Services, LLC Austin, TX District 6
Kurt Sims Arvest Wealth Management Jacksonville, AR District 5
Jim Webb Cape Securities Inc. McDonough, GA District 7
Kelly Welker Sagepoint Financial, Inc. San Antonio, TX District 6
Scott Wilkins NBC Securities, Inc. Birmingham, AL District 5
Mary Ellen Williams Lieblong & Associates Little Rock, AR District 5
Melinda Wolfe Kovack Securities, Inc. Fort Lauderdale, FL District 7
Daniel Woodring PFS Investments, Inc. Duluth, GA District 7
Stephen Youhn PROEQUITIES, Inc. Birmingham, AL District 5