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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.

2023 Committee Rosters

West Region

Name Firm Location District
Ashley Adkins Cash App Investing LLC Portland, OR District 3
Brad Anderson DFPG Investments, LLC Sandy, UT District 3
Dave Banerjee Second Street Securities, Inc. Woodland Hills, CA District 2
Brian Buehler Triton Pacific Securities Dana Point, CA District 2
Chris Charles Wulff Hansen & Co. San Rafael, CA District 1
Michael Kane Transactiondrivers LLC Los Angeles, CA District 2
Kent Lund GVC Capital LLC Greenwood Village, CO District 3
Jonathan Matthews Wealthfront Brokerage Palo Alto, CA District 1
Audrey McMahon Ares Investor Services LLC Los Angeles, CA District 2
Michael Moran Charles Schwab & Co., Inc San Francisco, CA District 1
Ken Muraoka Cetera Advisor Networks El Segundo, CA District 2
Mark Quinn Cetera Financial Group San Diego, CA District 2
Ann Robinson Farmers Financial Westlake Village, CA District 2
Katrina Santa Maria M.S. Howells & Co. Scottsdale, A District 3
Alexis Schumann SagePoint Financial, Inc. Phoenix, AZ District 3
Jacob Stewart Saturna Brokerage Services, Inc. Bellingham, WA District 3

Mid-West Region

Name Firm Location District
Meaghan Alvarez Principal Securities Des Moines, IA District 4
Travis Bator Harbour Investments, Inc. Madison, WI District 8
Stephen Berkeley Loop Capital Markets, LLC Chicago, IL District 8
Mason Burnham Wells Fargo Advisors Financial Network, LLC St. Louis, MO District 4
Kim Chapman Berthel, Fisher & Company Financial Services, Inc. Cedar Rapids, IA District 4
Scott Ironside Robert W. Baird & Co. Incorporated Louisville, KY District 8
Basil Joseph Van Clemens & Co., Inc. Minneapolis, MN District 4
Stephen Mack Mack Investment Securities, Inc. Northfield, IL District 8
Willson Rasavongxay William Blair Chicago, IL District 8
Adym Rygmyr Edward Jones St. Louis, MO District 4
John Szwagulak Huntington Securities, Inc. Cleveland, OH District 8

North Region

Name Firm Location District
Jason Albino Grove Point Investments, LLC Rockville, MD District 9
Lisa Clifford Tritower Real Estate Capital, LLC Boston, MA District 11
Nancy Heffner Lincoln Investment Fort Washington, PA District 9
Andrew Kurian Hedgebay Securities LLC Westport, CT District 11
Samantha Larew Manning & Napier Investor Services, Inc. Fairport, NY District 9
Theresa Manderski Davenport & Company LLC Richmond, VA District 9
Matthew J. Sugden 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 Region

Name Firm Location District
Gil Aikins Kepler Capital Markets, Inc. New York, NY District 10
Vincent Iannuzzi Beech Hill Securities, Inc. New York, NY District 10
Damon Joyner American Portfolios Financial Services, Inc. Holbrook, NY District 10
Chad Kirschenblatt LSH Partners Securities LLC New York, NY District 10
Katie McGowan National Bank of Canada Financial New York, NY District 10
John Parmigiani Allied Millennial Partners, LLC New York, NY District 10
James Port Broadridge Business Process Outsourcing, LLC New York, NY District 10
Anthony Savarese XTX Execution Services LLC New York, NY District 10
Hisham Sobhy Oldfield Capital Group New York, NY District 10
Osamu Watanabe Moelis & Company, LLC New York, NY District 10
Christopher Winchenbaugh Intrepid Partners New York, NY District 10
Brian Woldow Betterment Securities New York, NY District 10

South Region

Name Firm Location District
Sid Banks St. Bernard Financial Services, Inc. Jonesboro, AR District 5
Shawn Barko Raymond James & Associates, Inc. St. Petersburg, FL District 7
Nikki Brinkerhoff TradeStation Securities, Inc. Plantation, FL District 7
Harold G. Chaffee Triad Advisors LLC Norcross, GA District 7
Don Chaney Stephens Inc. Little Rock, AR District 5
Sharon Dyer St. Bernard Financial Services, Inc. Russellville, AR District 5
Trisha Hancock Invesco Capital Markets, Inc. Houston, TX District 6
Angela Holliday Frost Brokerage Services, Inc. San Antonio, TX District 6
William C. Hoover Steward Securities Group LLC Houston, TX District 6
Selwyn Notelovitz DFA Securities LLC Austin, TX District 6
Michael Oxley Apex Clearing Corp. Dallas, TX District 6
Jennifer Scola Carty & Company, Inc. Memphis, TN District 5
Ann Sebert Capital Institutional Services, Inc. Dallas, TX District 6
Kurt Sims Arvest Wealth Management Jacksonville, AR District 5
Alyson Stevens Wiley Bros. Aintree Capital, LLC Nashville, TN District 5
James M. Swartwout Robinhood Securities LLC Lake Mary, FL District 7
Jim Webb American Global Wealth Management, Inc. McDonough, GA District 7