Call for Candidates: SFAC and Regional Committee Elections This fall, firms will elect representatives to fill seats on FINRA’s Small Firm Advisory Committee and Regional Committees. Are you interesting in lending your experience and expertise, and engaging with FINRA on issues that impact the securities industry? We encourage you to read the
SFAC and
Regional Committee Election Notices and consider becoming a candidate. (
SFAC and
Regional Committee candidate profile forms are due to the
Office of the Corporate Secretary by Mon., Oct. 6.)
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.
2025 Committee Rosters
West Region
| Name | Firm | 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 |
| Daren Bryan | Empower Financial Services, Inc. | Greenwood Village, CO | District 3 |
| Chris Charles | Wulff Hansen & Co. | San Rafael, CA | District 1 |
| Denise Chisolm | Acorns Securities, LLC | Irvine, CA | District 2 |
| Michael Friedman | Albert Securities LLC | Santa Barbara, CA | District 2 |
| Joe Helmer | Caldwell Sutter Capital, Inc. | Sausalito, CA | District 1 |
| Kent Lund | GVC Capital LLC | Greenwood Village, CO | District 3 |
| MacGregor B. Maitland | Steward Partners Investment Solutions, LLC | Portland, OR | District 3 |
| Jonathan Matthews | Wealthfront Brokerage | Palo Alto, CA | District 1 |
| Ken Muraoka | Cetera Advisor Networks | El Segundo, CA | District 2 |
| Jaya Price | Qatalyst Partners LP | San Francisco, CA | District 1 |
| Marianne Rafferty | Zanbato Securities | Mountain View, CA | District 1 |
| Jason Rives | Figure Securities Inc | San Francisco, CA | District 1 |
| Ann Robinson | Farmers Financial | Westlake Village, CA | District 2 |
| Robert Wrubel | Cascade Investment Group, Inc. | Colorado Springs, CO | District 3 |
Mid-West Region
| Name | Firm | Firm Location | District |
|---|
| Kim Chapman | Berthel, Fisher & Company Financial Services, Inc. | Cedar Rapids, IA | District 4 |
| Jon V. Cherry | Northern Trust Securities, Inc. | Chicago, IL | District 8 |
| Margaret A. Dubil | Stifel, Nicolaus, & Company, Incorporated | St. Louis, MO | District 4 |
| Taylor Kerley | Robert W. Baird & Co. Incorporated
| Milwaukee, WI | District 8 |
| Matthew Kinsella | Ameritas Investment Company, LLC | Lincoln, NE | District 4 |
| Stephen Mack | Mack Investment Securities, Inc. | Northfield, IL | District 8 |
| Thomas Sarko | Core Financial, LLC
| Columbus, OH | District 8 |
| John Szwagulak | Huntington Securities, Inc. | Cleveland, OH | District 8 |
| John Taylor-Jones | Private Client Services | Louisville, KY | District 8 |
| Eric Wolfman | KeyBanc Capital Markets, Inc. | Cleveland, OH | District 8 |
| Steve Youhn | Cambridge Investment Research, Inc. | Fairfield, IA | District 4 |
North Region
| Name | Firm | Firm Location | District |
|---|
| Michael P. Doherty | Susquehanna Securities, LLC | Bala Cynwyd, PA | District 9 |
| Caroline Hall | Janney Montgomery Scott | Philadelphia, PA | District 9 |
| John Klocek | Loomis Sayles Distributors, L.P. | Boston, MA | District 11 |
| Samantha Larew | Manning & Napier Investor Services, Inc. | Fairport, NY | District 9 |
| Alina Monisov | U.S. Boston Capital Corporation | Lincoln, MA | District 11 |
| Stephanie Mumford | T. Rowe Price Investment Services, Inc. | Owings Mills, MD | District 9 |
| Diana Perlman | VP Distributors LLC | Hartford, CT | District 11 |
| 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, Inc.
| Red Bank, NJ | District 9 |
New York Region
| Name | Firm | Firm Location | District |
|---|
| Gil Aikins | Auerbach Grayson & Company, LLC | New York, NY | District 10 |
| DiAnne Calabrisotto | Siebert Williams Shank & Co., LLC | New York, NY | District 10 |
| Peter A. Garcia | Rabo Securities USA, Inc | New York, NY | District 10 |
| Brenda Hinton | Nasdaq Capital Markets Advisory LLC | New York, NY | District 10 |
| David L. Hunt | Prometheum ATS | New York, NY | District 10 |
| Vincent Iannuzzi | Beech Hill Securities, Inc. | New York, NY | District 10 |
| Jack Keating | Webull Financial LLC | New York, NY | District 10 |
| Dean Park | BTG Pactual US Capital, LLC | New York, NY | District 10 |
| James Port | Broadridge Business Process Outsourcing, LLC | Edgewood, NY | District 10 |
| Anthony Savarese | XTX Execution Services LLC | New York, NY | District 10 |
| Osamu Watanabe | Moelis & Company, LLC | New York, NY | District 10 |
| Brian Woldow | Betterment Securities | New York, NY | District 10 |
South Region
| Name | Firm | Firm Location | District |
|---|
| Shawn Barko | Raymond James & Associates, Inc. | St. Petersburg, FL | District 7 |
| Debby Bicanic | Hilltop Securities, Inc. | Dallas, TX | District 6 |
| Shauna Blake | LPL Financial | Fort Mill, SC | District 7 |
| Nikki Brinkerhoff | Carty, Harding & Hearn, Inc. | Memphis, TN | District 5 |
| Don Chaney | Stephens Inc. | Little Rock, AR | District 5 |
| Trey Cordle | P.J. Robb Variable, LLC | Memphis, TN | District 5 |
| Sharon Dyer | St. Bernard Financial Services, Inc. | Russellville, AR | District 5 |
| Sirrod Garrett | First Command Brokerage Services, Inc. | Fort Worth, TX | District 6 |
| Trisha Hancock | Invesco Capital Markets, Inc. | Houston, TX | District 6 |
| Robert Keenan | St. Bernard Financial Services, Inc.
| Russellville, AR | District 5 |
| Christy Lee | Millennium Advisors, LLC | Charlotte, NC | District 7 |
| Jim Muir | USAA Investment Services Company | San Antonio, TX | District 6 |
| Michael Oxley | Apex Clearing Corp. | Dallas, TX | District 6 |
| Jim Webb | American Global Wealth Management, Inc. | McDonough, GA | District 7 |
| Misty Wrinkle | The Baker Group | Oklahoma City, OK | District 5 |
