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 |
|---|
| 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 |
