NASD Announces Election Results for District Committees and District Nominating Committees
INFORMATIONAL
District Elections
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Executive Summary
Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until January 2007.1
District 10 (New York) had an additional candidate come forward for consideration for that District Committee. Ballots were submitted and counted on January 9, 2004. The originally proposed slate of candidates for District 10 (New York) received the largest number of votes and is declared elected.
The members of the incoming District Committees and the District Nominating Committees are identified in Attachment A.
Questions/Further Information
Questions concerning this Notice may be directed to the District Director noted or to Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, NASD, at (202) 728-8062, or via e-mail at [email protected].
1 Some newly elected District Committee members are filling existing vacancies and, therefore, will serve less than a three-year term, as indicated in Attachment A.
Attachment A
District Committee and District Nominating Committee 2004 Incoming Members
District 1
Elisabeth P. Owens, District Director
525 Market Street, Suite 300, San Francisco, CA 94105-2711 (415) 882-1200
Northern California (the counties of Monterey, San Benito, Fresno, and Inyo, and the remainder of the state north or west of such counties), northern Nevada (the counties of Esmeralda and Nye, and the remainder of the state north or west of such counties), and Hawaii
| 2004 District 1 Incoming Members | ||
| William A. Evans | Stone & Youngberg LLC | San Francisco, CA |
| Mansoor Kisat | Citigroup Global Markets, Inc. | Santa Rosa, CA |
| Arthur E. Raitano | Hoefer & Arnett, Incorporated | San Francisco, CA |
| 2004 District 1 Nominating Committee Incoming Members | ||
| Stephen R. Adams | Wells Fargo Investments, LLC | San Francisco, CA |
| Sally G. Aelion | Emmett A. Larkin Company, Inc. | San Francisco, CA |
| Robert S. Basso | Correspondent Services Corporation | San Francisco, CA |
| James D. Klein | UBS Financial Services, Inc. | San Francisco, CA |
| L. Robert McKulla | Wachovia Securities, LLC | Walnut Creek, CA |
District Committee and District Nominating Committee 2004 Incoming Members
District 2
Lani M. Sen Woltmann, District Director
300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071 (213) 627-2122
Southern California (that part of the state south or east of the counties of Monterey, San Benito, Fresno, and Inyo), southern Nevada (that part of the state south or east of the counties of Esmeralda and Nye), and the former U.S. Trust Territories
| 2004 District 2 Incoming Members | ||
| Stephen B. Benton | Financial Network Investment Corp. | Torrance, CA |
| James M. S. Dillahunty | Fixed Income Securities, LP | San Diego, CA |
| John D. Lewis | JDL Securities Corp. | Newport Beach, CA |
| 2004 District 2 Nominating Committee Incoming Members | ||
| James E. Biddle | The Securities Center Incorporated | Chula Vista, CA |
| Margaret M. Black | Morgan Stanley Dean Witter, Inc. | Los Angeles, CA |
| Diane P. Blakeslee | Blakeslee & Blakeslee, Inc. | San Luis Obispo, CA |
| Miles Z. Gordon | Financial Network Investment Corporation | Indian Wells, CA |
| Steven K. McGinnis | Keystone Capital Corporation | San Diego, CA |
District Committee and District Nominating Committee 2004 Incoming Members
District 3
| Joseph M. McCarthy, District Director | James G. Dawson, District Director |
| 370 17th Street, Suite 2900 Denver, CO 80202-5629 (303) 446-3100 | Two Union Square, 601 Union Street Suite 1616, Seattle, WA 98101-2327 (206) 624-0790 |
| Arizona, Colorado, New Mexico, Utah, and Wyoming | Alaska, Idaho, Montana, Oregon, and Washington |
| 2004 District 3 Incoming Members | ||
| Curtis J. Hammond | Morgan Stanley Dean Witter, Inc. | Bellevue, WA |
| J. Keith Kessel | AFS Brokerage, Inc. | Greenwood Village, CO |
| Arlene M. Wilson | D.A. Davidson & Co. | Great Falls, MT |
| 2004 District 3 Nominating Committee Incoming Members | ||
| Elyssa S. Baltazar | Morgan Stanley Dean Witter, Inc. | Denver, CO |
| L. Hoyt DeMers | Wells Fargo Investments, LLC | Seattle, WA |
| Steven Larson | Richards, Merrill & Peterson, Inc. | Spokane, WA |
| Anthony B. Petrelli | Neidiger, Tucker, Bruner, Inc. | Denver, CO |
| Kathryn A. Supko | Northwestern Mutual Investment Services, LLC | Boise, ID |
District Committee and District Nominating Committee 2004 Incoming Members
District 4
Thomas D. Clough, District Director
120 West 12th Street, Suite 900, Kansas City, MO 64105 (816) 421-5700
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota
| 2004 District 4 Incoming Members | ||
| Michael D. Burns (2-Year Term) | USAllianz Securities, Inc. | Minneapolis, MN |
| Joseph D. Fleming | Piper Jaffray & Co. | Minneapolis, MN |
| Richard M. Hurwitz | Benefit Finance Securities, LLC | St. Louis, MO |
| Mark T. Lasswell | Wells Fargo Brokerage Services, L.L.C. | Minneapolis, MN |
| Kevin P. Maas (2-Year Term) | PrimeVest Financial Services, Inc. | St. Cloud, MN |
| 2004 District 4 Nominating Committee Incoming Members | ||
| Gene M. Diederich | A.G. Edwards & Sons, Inc. | Overland Park, KS |
| Timothy J. Lyle | Cambridge Investment Research, Inc. | Fairfield, IA |
| E. John Moloney | Moloney Securities Co., Inc. | St. Louis, MO |
| L.C. (Jack) Petersen | Kirkpatrick, Pettis, Smith, Polian, Inc. | Omaha, NE |
| Pamela R. Ziermann | Dougherty & Company, LLC | Minneapolis, MN |
District Committee and District Nominating Committee 2004 Incoming Members
District 5
Warren A. Butler, Jr., District Director
1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802 (504) 522-6527
Alabama, Arkansas, Louisiana, Mississippi, Oklahoma, and Tennessee
| 2004 District 5 Incoming Members | ||
| Jennifer Carty Scola | Carty & Company, Inc. | Memphis, TN |
| R. Patrick Shepherd | Avondale Partners, LLC | Nashville, TN |
| Donald R. Winton | Crews & Associates, Inc. | Little Rock, AR |
| 2004 District 5 Nominating Committee Incoming Members | ||
| David A. Daugherty | James Baker & Associates | Oklahoma City, OK |
| James S. Holbrook, Jr. | Sterne, Agee & Leach, Inc. | Birmingham, AL |
| E. Douglas Johnson, Jr. | Johnson Rice & Company L.L.C. | New Orleans, LA |
| Tom R. Steele | Equitable Advisors, Inc. | Nashville, TN |
| Duncan F. Williams | Duncan-Williams, Inc. | Memphis, TN |
District Committee and District Nominating Committee 2004 Incoming Members
District 6
Virginia F.M. Jans, District Director
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243 (972) 701-8554
Texas
| 2004 District 6 Incoming Members | ||
| Karen Banks | Frost Brokerage Services, Inc. | San Antonio, TX |
| Cynthia E. Besek | Maplewood Investment Advisors, Inc. | Dallas, TX |
| Darryl W. Traweek | RBC Dain Rauscher Inc. | Houston, TX |
| 2004 District 6 Nominating Committee Incoming Members | ||
| Christopher R. Allison | M.E. Allison & Co., Inc. | San Antonio, TX |
| C. Ronald Baker | The (Wilson) Williams Financial Group | Lubbock, TX |
| William B. Madden | Madden Securities Corporation | Dallas, TX |
| Edward M. Milkie | Milkie/Ferguson Investments, Inc. | Dallas, TX |
| David W. Turner | Wachovia Securities, LLC | Fort Worth, TX |
District Committee and District Nominating Committee 2004 Incoming Members
District 7
Alan M. Wolper, District Director
One Securities Centre, Suite 500, 3490 Piedmont Road, NE, Atlanta, GA 30305 (404) 239-6100
Florida, Georgia, North Carolina, South Carolina, Puerto Rico, the Canal Zone, and the Virgin Islands
| 2004 District 7 Incoming Members | ||
| Susan J. Hechtlinger | Banc of America Investment Services, Inc. | Charlotte, NC |
| Landrum H. Henderson, Jr. | Legg Mason Wood Walker, Inc. | Charlotte, NC |
| Alan L. Maxwell, Jr. | Wachovia Capital Markets, LLC | Charlotte, NC |
| Roark A. Young (One-Year Term) | Young, Stovall and Company | Miami, FL |
| 2004 District 7 Nominating Committee Incoming Members | ||
| Michael D. Hearn, Esq. | Banc of America Investment Services, Inc. | Charlotte, NC |
| Kenneth W. McGrath | Popular Securities, Inc. | Hato Rey, PR |
| C. John O'Bryant, III | PowellJohnson, Private Asset Management | Raleigh, NC |
| Glenn R. Oxner | Scott & Stringfellow, Inc. | Greenville, SC |
| John W. Waechter | William R. Hough & Co. | St. Petersburg, FL |
District Committee and District Nominating Committee 2004 Incoming Members
District 8
| Carlotta A. Romano, District Director | William H. Jackson, Jr., District Director |
| 55 West Monroe Street, Suite 2700 Chicago, IL 60603-5051 (312) 899-4400 | Renaissance on Playhouse Square 1350 Euclid Avenue, Suite 650 Cleveland, OH 44115 (216) 592-2950 |
| Illinois, Indiana, Kentucky, Michigan, and Wisconsin | Ohio |
| 2004 District 8 Incoming Members | ||
| Michael E. Bosway | City Securities Corporation | Indianapolis, IN |
| Robert J. Michelotti | Ferris, Baker Watts Incorporated | Auburn Hills, MI |
| Lora Rosenbaum | Northwestern Mutual Investment Services, LLC | Milwaukee, WI |
| 2004 District 8 Nominating Committee Incoming Members | ||
| William C. Alsover, Jr. | Centennial Securities Company, Inc. | Grand Rapids, MI |
| Mary D. Esser | Cressman Esser Securities, Inc. | Naperville, IL |
| Gregory Goelzer | Goelzer Investment Management | Indianapolis, IN |
| Rodney Trautvetter | Harris Investor Services, LLC | Chicago, IL |
| Bruce J. Young | Mesirow Financial, Inc. | Chicago, IL |
District Committee and District Nominating Committee 2004 Incoming Members
District 9
| Gary K. Liebowitz, District Director | John P. Nocella, District Director |
| 581 Main Street, 7th Floor Woodbridge, NJ 07905 (732) 596-2000 | Eleven Penn Center, 1835 Market Street Suite 1900, Philadelphia, PA 19103 (215) 665-1180 |
| New Jersey and New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City) | Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia |
| 2004 District 9 Incoming Members | ||
| John Bluher Knight | Equity Markets, L.P. | Jersey City, NJ |
| Barry M. Cash | UBS Financial Services, Inc. | Fishkill, NY |
| Peter P. Jenkins | Credit Suisse First Boston LLC | Baltimore, MD |
| 2004 District 9 Nominating Committee Incoming Members | ||
| J. Lee Keiger, III | Davenport & Company, LLC | Richmond, VA |
| John P. Meegan | Parker/Hunter Incorporated | Pittsburgh, PA |
| Lance A. Reihl | 1717 Capital Management Company | Newark, DE |
| Howard B. Scherer | Janney Montgomery Scott LLC | Philadelphia, PA |
| Lenda P. Washington | GRW Capital Corporation | Washington, DC |
District Committee and District Nominating Committee 2004 Incoming Members
District 10
Robert B. Kaplan, Acting District Director
One Liberty Plaza, 49th Floor, New York, NY 10006 (212) 858-4000
New York (the counties of Nassau and Suffolk, and the five boroughs of New York City)
| 2004 District 10 Incoming Members | ||
| Richard Berenger | Sky Capital, LLC | New York, NY |
| Lon T. Dolber | American Portfolios Financial Services, Inc. | Holbrook, NY |
| George T. Mimura | Nomura Securities International, Inc. | New York, NY |
| Howard R. Plotkin | Lehman Brothers Inc. | New York, NY |
| 2004 District 10 Nominating Committee Incoming Members | ||
| William Behrens | Northeast Securities, Inc. | New York, NY |
| Ruth S. Goodstein | UBS Financial Services, Inc. | New York, NY |
| Judith R. MacDonald | Rothschild, Inc. | New York, NY |
| Charles V. Senatore | Fidelity Brokerage Services, LLC | New York, NY |
| Stephen C. Strombelline | BNP Paribas Securities Corp. | New York, NY |
District Committee and District Nominating Committee 2004 Incoming Members
District 11
Frederick F. McDonald, District Director
260 Franklin Street, 16th Floor, Boston, MA 02110 (617) 261-0800
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont
| 2004 District 11 Incoming Members | ||
| David K. Booth | Jefferson Pilot Securities Corp. | Concord, NH |
| Thomas F. Hollenbeck | J.P. Morgan Invest, LLC | Boston, MA |
| Curtis L. Snyder, Jr. | American Technology Research, Inc. | Old Greenwich, CT |
| 2004 District 11 Nominating Committee Incoming Members | ||
| Richard J. DeAgazio | Boston Capital Services, Inc. | Boston, MA |
| John I. Fitzgerald | Leerink Swann & Company | Boston, MA |
| John D. Lane | Lane Capital Markets LLC | Fairfield, CT |
| Robert V. Rodia | People's Securities, Inc. | Bridgeport, CT |
| Gregory D. Teese | Equity Services, Inc. | Montpelier, VT |