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
Mitzi Architect
Director, Business Control Manager
Regulatory Training
Merrill Lynch, Pierce, Fenner & Smith Inc.
Boerne, TX
Council Vice Chairperson
Harry Striplin
Chief Compliance Officer
Paulson Investment Company, LLC
Lake Oswego, OR
Firm Element Chairperson
Tim Bonisteel
AVP, Chief Compliance Officer
Osaic FA, Inc. & Osaic, FS, Inc.
Fort Wayne, IN
Regulatory & Practical Elements Chairperson
Kay Johnson
Chief Compliance Officer/Partner
Allied Millennial Partners, LLC
New York, NY
Finance Chairperson
Stephen Portas
Chief Compliance Officer
Wellington Shields & Co.
New York, NY
Debra Bougie
Manager, BD/IA Compliance
Thrivent
Minneapolis, MN
Jessica Calley-McDougal
Vice President, Conduct, Training and Education, & Ethics Central Compliance
Raymond James
St Petersburg, FL
John F. Cunningham
Director — Member Services
MIAX Exchange Group
Princeton, NJ
Jennifer DiValerio
Compliance Director
Vanguard
Malvern, PA
Jim Downing
Chief Compliance Officer
Jones Lang Lasalle Securities
Chicago, IL
Jason Halikias
Executive Director | C&ORC
UBS Securities 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
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
Denise K. Steffel
Senior Advisor
Alpaca Securities, LLC
Babcock Ranch, FL
Thomas Warshaw
Manager
NYSE Regulation
New York, NY
Nathan D. Westcomb
Chief Compliance Officer
Ausdal Financial Partners, Inc.
Downers Grove, IL
Joan Winkelmann
Director of Learning Support Center of Excellence
Edward Jones
St Louis, MO
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
Deborah J. Fabritz
Director – Professional Registration & Compliance Bureau
Division of Securities
Wisconsin Department of Financial Institutions
Madison, WI
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
Geri Pinarski
Manager, Regulation
Cboe 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