Council Members

Kelly M. Anderson

Corporate Compliance Principal
Allianz Life Financial Services, LLC

Neal J. Baumann

Co-Manager in Charge
SVP - Investments
Benjamin F. Edwards & Co.

Tammy R. Beaver

VP/Director of Compliance
Individual Investor Group (IIG)
D.A. Davidson & Co.

Lawrence J. Bresnahan

Vice President, Member Firm Regulation
Chicago Board Options Exchange

Kevin P. Curtin

Manager - Member Regulation
Chicago Stock Exchange, Inc.

Michael P. Doherty

Chief Compliance Officer
Susquehanna Securities

Erik Dolan

Director of Professional Qualifications
Municipal Securities Rulemaking Board

Lance B. Fraser

Managing Director & Head of Business Due Diligence
Merrill Lynch Wealth Management

Jeffry F. Freiburger

Managing Director/Chief Compliance Officer
Robert W. Baird & Co.

Elizabeth A. Hansen

Chief Compliance Officer
Waddell & Reade

Gina E. Hyde

Chief Compliance Officer
Stifel Financial

John C. Kalohn

Vice President, Testing and Continuing Education
Financial Industry Regulatory Authority (FINRA)

Gregor B. Maitland

Director of Compliance, RIA Services
Commonwealth Financial Network

Catherine Makstenieks

Director/Chief Compliance Officer
Deloitte Corporate Finance LLC

Sandra Y.S. Mao

Ann C. McCague

Managing Director
Global Head of Compliance
Piper Jaffray Companies

Brandon M. O'Hara

BD & IA Compliance Manager
Thrivent Investment Management

Ronald Olexsak

Chief Compliance Officer
Thornburg Securities Corporation

Scott Palmer

Director
NYSE Regulation
New York, NY

David C. Prince

General Counsel
Chief Compliance Officer
Stephens Investment Management Group, LLC

Brian K. Shobert

Major Market Administration Manager/Vice President
Wells Fargo Advisors LLC

Timothy Stone

VP/Head of Supervision
Cetera Advisor Networks, LLC.

Gwen K. Weithaus

Compliance Director
Northwestern Mutual