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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

NameFirmLocationDistrict
Ashley AdkinsCash App Investing LLCPortland, ORDistrict 3
Brad AndersonDFPG Investments, LLCSandy, UTDistrict 3
Dave BanerjeeSecond Street Securities, Inc.Woodland Hills, CADistrict 2
Brian BuehlerTriton Pacific SecuritiesDana Point, CADistrict 2
Chris CharlesWulff Hansen & Co.San Rafael, CADistrict 1
Michael KaneTransactiondrivers LLCLos Angeles, CADistrict 2
Kent LundGVC Capital LLCGreenwood Village, CODistrict 3
Jonathan MatthewsWealthfront BrokeragePalo Alto, CADistrict 1
Audrey McMahonAres Investor Services LLCLos Angeles, CADistrict 2
Michael MoranCharles Schwab & Co., IncSan Francisco, CADistrict 1
Ken MuraokaCetera Advisor NetworksEl Segundo, CADistrict 2
Mark QuinnCetera Financial GroupSan Diego, CADistrict 2
Ann RobinsonFarmers FinancialWestlake Village, CADistrict 2
Katrina Santa MariaM.S. Howells & Co.Scottsdale, ADistrict 3
Alexis SchumannSagePoint Financial, Inc.Phoenix, AZDistrict 3
Jacob StewartSaturna Brokerage Services, Inc.Bellingham, WADistrict 3

Mid-West Region

NameFirmLocationDistrict
Stephen BerkeleyLoop Capital Markets, LLCChicago, ILDistrict 8
Mason BurnhamWells Fargo Advisors Financial Network, LLCSt. Louis, MODistrict 4
Kim ChapmanBerthel, Fisher & Company Financial Services, Inc.Cedar Rapids, IADistrict 4
Scott IronsideRobert W. Baird & Co. IncorporatedLouisville, KYDistrict 8
Basil JosephVan Clemens & Co., Inc.Minneapolis, MNDistrict 4
Stephen MackMack Investment Securities, Inc.Northfield, ILDistrict 8
Willson RasavongxayWilliam BlairChicago, ILDistrict 8
Adym RygmyrEdward JonesSt. Louis, MODistrict 4
John SzwagulakHuntington Securities, Inc.Cleveland, OHDistrict 8

North Region

NameFirmLocationDistrict
Jason AlbinoGrove Point Investments, LLCRockville, MDDistrict 9
Lisa CliffordTritower Real Estate Capital, LLCBoston, MADistrict 11
Nancy HeffnerLincoln InvestmentFort Washington, PADistrict 9
Andrew KurianHedgebay Securities LLCWestport, CTDistrict 11
Samantha LarewManning & Napier Investor Services, Inc.Fairport, NYDistrict 9
Theresa ManderskiDavenport & Company LLCRichmond, VADistrict 9
Matthew J. SugdenCommonwealth Financial NetworkWaltham, MADistrict 11
Mark TrabuccoState Street Global Markets, LLCBoston, MADistrict 11
Steven TrigiliGarden State Securities, LLCRed Bank, NJDistrict 9
Douglas WrightThe Investment Center, Inc.Bedminster, NJDistrict 9

New York Region

NameFirmLocationDistrict
Gil AikinsKepler Capital Markets, Inc.New York, NYDistrict 10
Vincent IannuzziBeech Hill Securities, Inc.New York, NYDistrict 10
Damon JoynerAmerican Portfolios Financial Services, Inc.Holbrook, NYDistrict 10
Chad KirschenblattLSH Partners Securities LLCNew York, NYDistrict 10
Katie McGowanNational Bank of Canada FinancialNew York, NYDistrict 10
John ParmigianiAllied Millennial Partners, LLCNew York, NYDistrict 10
James PortBroadridge Business Process Outsourcing, LLCNew York, NYDistrict 10
Anthony SavareseXTX Execution Services LLCNew York, NYDistrict 10
Hisham SobhyOldfield Capital GroupNew York, NYDistrict 10
Osamu WatanabeMoelis & Company, LLCNew York, NYDistrict 10
Christopher WinchenbaughIntrepid PartnersNew York, NYDistrict 10
Brian WoldowBetterment SecuritiesNew York, NYDistrict 10

South Region

NameFirmLocationDistrict
Sid BanksSt. Bernard Financial Services, Inc.Jonesboro, ARDistrict 5
Shawn BarkoRaymond James & Associates, Inc.St. Petersburg, FLDistrict 7
Nikki BrinkerhoffTradeStation Securities, Inc.Plantation, FLDistrict 7
Harold G. ChaffeeTriad Advisors LLCNorcross, GADistrict 7
Don ChaneyStephens Inc.Little Rock, ARDistrict 5
Sharon DyerSt. Bernard Financial Services, Inc.Russellville, ARDistrict 5
Trisha HancockInvesco Capital Markets, Inc.Houston, TXDistrict 6
Angela HollidayFrost Brokerage Services, Inc.San Antonio, TXDistrict 6
William C. HooverSteward Securities Group LLCHouston, TXDistrict 6
Selwyn NotelovitzDFA Securities LLCAustin, TXDistrict 6
Michael OxleyApex Clearing Corp.Dallas, TXDistrict 6
Jennifer ScolaCarty & Company, Inc.Memphis, TNDistrict 5
Ann SebertCapital Institutional Services, Inc.Dallas, TXDistrict 6
Kurt SimsArvest Wealth ManagementJacksonville, ARDistrict 5
Alyson StevensWiley Bros. Aintree Capital, LLCNashville, TNDistrict 5
James M. SwartwoutRobinhood Securities LLCLake Mary, FLDistrict 7
Jim WebbAmerican Global Wealth Management, Inc.McDonough, GADistrict 7