The Council

Developing engaging and meaningful learning
materials for the securities industry

Council Members

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 Chairperson

Melanie Taylor
SVP, Compliance Legal Risk
LPL Financial
Fort Mill, SC

Council Vice Chairperson

Patricia Mittler
Executive Director
UBS Securities LLC
New York, NY

Regulatory & Practical Elements Chairperson
M. Architect

Mitzi Architect
Director, Business Control Manager
Regulatory Training
Merrill Lynch, Pierce, Fenner & Smith Inc.
Boerne, TX

Communications & Metrics; Finance Chairperson
Downing

Jim Downing
Chief Compliance Officer
Morningstar Inc.
Chicago, IL

Firm Element Chairperson
member-photo

Molly Wurst
Senior Manager, Compliance Training
RBC Capital Markets, LLC
Minneapolis, MN

Bonisteel

Tim Bonisteel
AVP, Business Law & Compliance
Lincoln Financial Group
Fort Wayne, IN

Cunningham 2

John F. Cunningham
Director — Member Services
MIAX Exchange Group
Princeton, NJ

member-photo

Stephen J. Easton J.D.
Vice President & Chief Compliance Officer
Voya Investments Distributor, LLC
Windsor, CT

Evancho

Andrea Vadas Evancho
Group Manager, Enterprise Chief Control
Officer – Regulatory Framework
BNY Mellon
Pittsburgh, PA

Foster

Douglas W. Foster
Director of Enterprise Risk Management
Janney Montgomery Scott LLC
Philadelphia, PA

Jaeck

Gregory Jaeck
Senior Product Leader – Insurance and Annuities
Edward Jones
Saint Louis, MO

Johnson

Kay Johnson
Chief Compliance Officer/Partner
Allied Millennial Partners, LLC
New York, NY

Joiner

Bri Joiner
Director, Regulatory Compliance
Municipal Securities Rulemaking Board
Washington, DC

Lamie

Jennifer Lamie
VP, Chief Regulatory Advisor
Cboe Global Markets
Chicago, IL

McMahon

Casey McMahon
Compliance Director
Wolverine Trading
Chicago, IL

Michaels Katie-R (002)

Katharine Michaels
Vice President, Supervision
Raymond James
St. Petersburg, FL

Scott Palmer

Scott Palmer
Chief Regulatory Officer
Members Exchange
Jersey City, NJ

Steve_Portas_400X400

Stephen Portas
Chief Compliance Officer
Wellington Shields & Co
New York, NY

Scrams David_2x4

David Scrams
Vice President
Testing & Continuing Education
FINRA
Rockville, MD

Striplin

Harry Striplin
Chief Compliance Officer
Paulson Investment Company, LLC
Lake Oswego, OR

Thomas Warshaw
Head Shot
October 24, 2023
 
Photo Credit: NYSE

Thomas Warshaw
Manager
NYSE Regulation
New York, NY

Willie Wong

Willie Wong
Chief Compliance Officer
Casey Securities LLC
San Francisco, CA

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

James Papagiannis
Chief Compliance Officer
InspereX LLC
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