Council Members

Kelly M. Anderson

Compliance Director
RBC Wealth Management

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

Richard A. Cumiskey, Jr.

Chief Compliance Officer
HJ Sims & Co.

Kevin P. Curtin

Manager - Member Regulation
Chicago Stock Exchange, Inc.

Michael P. Doherty

Compliance Director
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.

Sean T. Gilmartin

NYSE Regulation

Marion S. Halliday

Chief Compliance Officer/SVP
Janney Montgomery Scott, LLC

John C. Kalohn

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

Catherine Makstenieks

Director/Chief Compliance Officer
Deloitte Corporate Finance LLC

Sandra Y.S. Mao

Director, Co-Head Equities Business Control Unit
Deutsche Bank

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

David C. Prince

General Counsel
Chief Compliance Officer
Stephens Investment Management Group, LLC

Anthony J. Scaturro

Executive Director
Legal and Compliance
Morgan Stanley Wealth Management

Brian K. Shobert

Major Market Administration Manager/Vice President
Wells Fargo Advisors LLC

Timothy Stickney

AVP, Product Due Diligence
Lincoln Financial Network

Timothy Stone

VP/Head of Supervision
Cetera Advisor Networks, LLC.

Gwen K. Weithaus

Compliance Director
Northwestern Mutual

Joel W. Zawko