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 |
