The Council is composed of industry members from broker-dealers that represent a broad cross section of industry firms and of representatives from self-regulatory organizations (SROs). The Council also includes liaisons from the SEC and NASAA.
Council Members
Council Chairperson
Jim Downing
Chicago, IL
Council Vice Chairperson
Mitzi Architect
Director, Business Control Manager
Regulatory Training
Merrill Lynch, Pierce, Fenner & Smith Inc.
Boerne, TX
Firm Element Chairperson
Douglas W. Foster
Director of Enterprise Risk Management
Janney Montgomery Scott LLC
Philadelphia, PA
Regulatory & Practical Elements Chairperson
Casey McMahon
Compliance Director
Wolverine Trading
Chicago, IL
Communications & Metrics Chairperson
Harry Striplin
Chief Compliance Officer
Paulson Investment Company, LLC
Lake Oswego, OR
Finance Chairperson
Willie Wong
Chief Compliance Officer
Casey Securities LLC
San Francisco, CA
Tim Bonisteel
AVP, Business Law & Compliance
Lincoln Financial Group
Fort Wayne, IN
Jessica Calley-McDougal
Director, Private Client Group Compliance
Raymond James
St Petersburg, FL
John F. Cunningham
Director — Member Services
MIAX Exchange Group
Princeton, NJ
Stephen J. Easton J.D.
Vice President & Chief Compliance Officer
Voya Investments Distributor, LLC
Windsor, CT
Kay Johnson
Chief Compliance Officer/Partner
Allied Millennial Partners, LLC
New York, NY
Bri Joiner
Director, Regulatory Compliance
Municipal Securities Rulemaking Board
Washington, DC
Jennifer Lamie
VP, Chief Regulatory Advisor
Cboe Global Markets
Chicago, IL
Patricia Mittler
Executive Director
UBS Securities LLC
New York, NY
Scott Palmer
Chief Regulatory Officer
Members Exchange
Jersey City, NJ
Stephen Portas
Chief Compliance Officer
Wellington Shields & Co.
New York, NY
Courtney R. Reid
Chief Compliance Officer
MML Investors Services, LLC/MassMutual
Springfield, MA
David Scrams
Vice President, Testing & Continuing Education
FINRA
Rockville, MD
Jeffrey Soderstrom
Senior Vice President, Supervision and Risk Mitigation
Ameriprise Financial Services
Minneapolis, MN
Melanie Taylor
SVP, Compliance Legal Risk
LPL Financial
Fort Mill, SC
Thomas Warshaw
Manager
NYSE Regulation
New York, NY
Joan Winkelmann
Director of Learning Support Center of Excellence
Edward Jones
St Louis, MO
Molly Wurst
Senior Manager, Compliance Training
RBC Capital Markets, LLC
Minneapolis, MN
Council Liasons
Elisabeth Craig
Sr. Vice President and Deputy
Credentialing Registration Education & Disclosure
FINRA
Rockville, MD
Daniel Fisher
Office of Chief Counsel
Securities and Exchange Commission
Washington, DC
Genay Glasgo
Director, Continuing Education Marketplace
FINRA
Kyra Grundeman
Office of Chief Counsel
Securities and Exchange Commission
Washington, DC
Natasha R. Hurt
North American Securities Administrators
Association
Washington, DC
Nicole Lefort
Associate Director, Continuing Education Content
FINRA
New York, NY
Derek W. Linden
Executive Vice President
Credentialing Registration Education & Disclosure
FINRA
Rockville, MD
Patricia Monterosso
Senior Director, CRED Continuing Education Services
FINRA
New York, NY
Brett Olin
Deputy Securities Commissioner
Office of the Montana State Auditor
Helena, MT
Geri Pinarski
Manager, Regulation
Choe Global Markets
Chicago, IL
Edward Schellhorn
Office of Chief Counsel
Securities and Exchange Commission
Washington, DC
Andrea Simpkins
Lead Coordinator, Continuing Education
Testing & Continuing Education
FINRA
Rockville, MD
Irmina Tan
Principal Client Relationship Manager
Testing & Continuing Education
FINRA
Rockville, MD
Danny Toula
Senior Professional Qualifications Analyst
Municipal Securities Rulemaking Board
Washington, DC