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
Harry Striplin
Compliance Consultant
Paulson Investment Company, LLC
Lake Oswego, OR
Council Vice Chairperson
Kay Johnson
Chief Compliance Officer/Partner
Allied Millennial Partners, LLC
New York, NY
Firm Element Chairperson
Nathan D. Westcomb
Chief Compliance Officer
Ausdal Financial Partners, Inc.
Downers Grove, IL
Regulatory & Practical Elements Chairperson
Jennifer DiValerio
Compliance Director
Vanguard
Malvern, PA
Finance Chairperson
Willie Wong
Chief Compliance Officer
Casey Securities LLC
San Francisco, CA
Sharon Berry
Compliance Officer
ISC Group
Dallas, TX
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
Jennifer Lamie
VP, Chief Regulatory Advisor
Cboe Global Markets
Chicago, IL
Justin Morgan
Head of Financial Crimes Compliance
Apex Clearing Corporation
Dallas, TX
Deirdre Patten
FINOP/ROP
Rockefeller Financial LLC
New York, NY
Stephen Portas
Chief Compliance Officer
Wellington Shields & Co.
New York, NY
Courtney R. Reid
Chief Compliance Officer
MML Investors Services, LLC/MassMutual
Springfield, MA
Adam Schwartz
Deputy Chief Regulatory Officer
MEMX LLC
Miami, FL
David Scrams
Vice President, Testing & Continuing Education
FINRA
Rockville, MD
Jeffrey Soderstrom
Senior Vice President, Supervision and Risk Mitigation
Ameriprise Financial Services
Minneapolis, MN
Kevin Spence
Senior Director of Compliance
TIAA
Charlotte, NC
Denise K. Steffel
Senior Advisor
Alpaca Securities, LLC
New York, NY
Kelley Swisher
Director – Membership Services
MIAX Exchange Group
Princeton, NJ
Danny Toula
Head of Professional Qualifications
Municipal Securities Rulemaking Board
Washington, DC
Eric Walker
Senior Manager of Compliance
Robinhood
Lake Mary, FL
Thomas Warshaw
Manager
NYSE Regulation
New York, NY
Joan Winkelmann
Director of Learning Support Center of Excellence
Edward Jones
St Louis, MO
Council Liasons
William Baisley
Principal Content Manager, CRED Continuing Education Services
FINRA
New York, NY
Elisabeth Craig
Sr. Vice President and Deputy
Credentialing Registration Education & Disclosure
FINRA
Rockville, MD
Cheryl Cravens
Sr. Manager, Regulatory Education
Cboe Global Markets
Chicago, IL
Deborah J. Fabritz
Director – Professional Registration & Compliance Bureau
Division of Securities
Wisconsin Department of Financial Institutions
Madison, WI
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
Bri Joiner
Director, Regulatory Compliance
Municipal Securities Rulemaking Board
Washington, DC
Nicole Lefort
Associate Director, CRED Continuing Education Content
FINRA
New York, NY
Derek W. Linden
Executive Vice President
Credentialing Registration Education & Disclosure
FINRA
Rockville, MD
James Molloy
Market Surveillance Analyst
Members Exchange
Miami, FL
Dana Monsky
Principal Content Manager, CRED Continuing Education Services
FINRA
New York, NY
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, CRED Continuing Education Services
FINRA
Rockville, MD