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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.

2022 Committee Rosters

West Region

Name Firm Location District
Brad Anderson DFPG Investments, LLC Sandy, UT District 3
Brian Buehler Triton Pacific Securities Dana Point, CA District 2
Alan Carlisle FREC Securities LLC San Francisco, CA District 1
Joseph Helmer Caldwell Sutter Capital, Inc. Sausalito, CA District 1
Robert Jones Sorrento Pacific Financial, LLC San Diego, CA District 2
Michael Kane Transactiondrivers LLC Los Angeles, CA District 2
Laura Liu First Republic Securities San Francisco, CA District 1
Kent Lund GVC Capital LLC Greenwood Village, CO District 3
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 First Allied Securities, Inc. 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
Harry Striplin Paulson Investment Company, LLC Lake Oswego, OR District 3
Adrienne Tam JMP Securities San Francisco, CA District 2

Mid-West Region

Name Firm Location District
Meaghan Alvarez Principal Securities Des Moines, IA District 4
Stephen Berkeley Loop Capital Markets, LLC Chicago, IL District 8
Suzanne Bond Inland Securities Corporation Oak Brook, 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
Kenneth Cherrier U.S. Bancorp Investments, Inc. Minneapolis, MN District 4
Brett Flansburg Ameriprise Financial Services, Inc. Minneapolis, MN District 4
Bill Hayden KeyBanc Capital Markets Cleveland, OH District 8
Scott Ironside Robert W. Baird & Co. Incorporated Louisville, KY 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
Lisa Clifford Tritower Real Estate Capital, LLC Boston, MA District 11
Nancy Heffner Lincoln Investment Fort Washington, PA District 9
Sheelagh Howett Cantella & Co. Inc. Boston, MA District 11
Andrew Kurian Hedgebay Securities LLC Westport, CT District 11
Samantha Larew Manning & Napier Investor Services, Inc. Fairport, NY District 9
Susan Moscaritolo Compass Distributors, LLC Berwyn, PA District 9
Scott Noah Griffin Financial Group Lawrenceville, NJ District 11
Adam Scaramella Prudential Investment Management Services LLC Newark, NJ District 9
Matthew J. Sugden Commonwealth Financial Network Waltham, 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
Miles Edwards Netrex Capital Markets, LLC New York, NY District 10
Elana Feigenblatt Cabot Lodge Securities LLC New York, NY District 10
Robert Hackel R.F. Lafferty & Co. 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
John Parmigiani Allied Millennial Partners, LLC New York, NY District 10
James Port Broadridge Business Process Outsourcing, LLC Jersey City, NJ 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

South Region

Name Firm Location District
Sid Banks St. Bernard Financial Services, Inc. Jonesboro, AR District 5
Nikki Brinkerhoff TradeStation Securities, Inc. Plantation, FL District 7
Anthony Cognevich Hancock Whitney Investment Services Inc. New Orleans, LA District 5
Trisha Hancock Invesco Capital Markets, Inc. Houston, TX District 6
Paula Heffron First Citizens Investor Services Raleigh, NC District 7
Angela Holliday Frost Brokerage Services, Inc. San Antonio, TX District 6
Charis I. Jones LPL Financial, LLC Fort Mill, SC District 7
John Muschalek Hilltop Securities Inc. Dallas, 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
Martin Shea, Jr. Vining Sparks Memphis, TN District 5
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
Carrie Wisniewski Bridge Capital Associates, Inc. Lilburn, GA District 7