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2023 Small Firm Advisory Committee Election

On October 23, 2023, FINRA announced the Small Firm Advisory Committee (SFAC) election for the Midwest and South Regions. Small firms in these regions will receive ballots via email from [email protected] to vote in this election (hard copy ballots will also be mailed to these firms). Voting concludes on November 22, 2023, and the newly elected SFAC members will take office in January 2024.


To review the candidates, please click on the links below.

Midwest Region: Illinois, Indiana, Iowa, Kansas, Kentucky, Michigan, Minnesota, Missouri, Nebraska, North Dakota, Ohio, South Dakota and Wisconsin (Districts 4 and 8)

Midwest Region Candidates

  • Robert L. Hamman, President & Chief Compliance Officer, First Asset Financial Inc.
  • Dennis Kerlin, Chief Compliance Officer, Optiver Execution Services LLC
  • Carlos Javier Legaspy, President & CEO, Insight Securities, Inc.

South Region: Alabama, Arkansas, Florida, Georgia, Louisiana, Mississippi, North Carolina, Oklahoma, Panama, Puerto Rico, South Carolina, Tennessee, Texas and the Virgin Islands (Districts 5, 6 and 7)

South Region Candidates

  • John (Jack) Bruno, Chief Operating Officer, Global Financial Services, LLC
  • Sergio Guerrero, COO & FINOP, Amerant Investments, Inc.
  • Gregg Guinta, President, AAG Capital, Inc.
  • David Lee Hunt, Chief Executive Officer/Chief Compliance Officer, Securitize Markets, LLC
  • Alyson Mencio Stevens, Chief Compliance Officer, Wiley Bros.-Aintree Capital, & Partners, LLC