Council Members

Kelly M. Anderson

Corporate Compliance Principal
Allianz Life Financial Services, LLC
Minneapolis, MN

Tammy R. Beaver

SVP, Chief Supervisory Officer
Wealth Management
D.A. Davidson & Co.
Great Falls, MT

Lawrence J. Bresnahan

Vice President, Member Firm Regulation
Chicago Board Options Exchange
Chicago, IL

Russ Davidson

Compliance Director
Credit Suisse
New York, NY

Lance B. Fraser

Managing Director & Head of Business Due Diligence
Merrill Lynch Wealth Management
New York, NY

Jeffry F. Freiburger

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

Elizabeth A. Hansen

Chief Compliance Officer
Waddell & Reed
Overland Park, KS

Gina E. Hyde

Chief Compliance Officer
Stifel Financial
Baltimore, MD

Bryan Jacobsen

Chief Compliance Officer
Apex Clearing Corporation
Dallas, TX

Gregory Jaeck

Senior Product Leader - Insurance and Annuities
Edward Jones
St. Louis, MO

Bri Joiner

Director, Professional Qualifications
Municipal Securities Rulemaking Board
Washington, DC

John C. Kalohn

Senior Advisor
Registration & Disclosure
Financial Industry Regulatory Authority (FINRA)
Rockville, MD

Steven Longo

Chief Compliance Officer
Harbor Platform Inc.
San Francisco, CA

Gregor B. Maitland

Deputy Chief Compliance Officer
Lincoln Financial Group
Concord, NH

Sandra Y.S. Mao

Head of U.S. Supervision
Scotia Capital USA, Inc.
New York, NY

Katharine Michaels

Vice President, Supervision
Raymond James
St. Petersburg, FL

Patricia Mittler

Executive Director
J.P. Morgan Securities
New York, NY

James Papagiannis

Chief Compliance Officer
Incapital LLC
Chicago, IL

Christian Sanfilippo

Manager
NYSE Regulation
New York, NY

Melanie Taylor

SVP, Compliance Legal Risk
LPL Financial
Fort Mill, SC

Gwen K. Weithaus

Vice President
Investment Products Risk and Controls
Northwestern Mutual
Milwaukee, WI