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

Downing

Jim Downing
Chicago, IL

 

Council Vice Chairperson

M. Architect

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

Firm Element Chairperson
Foster

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

Regulatory & Practical Elements Chairperson
McMahon

Casey McMahon
Compliance Director
Wolverine Trading
Chicago, IL

Communications & Metrics Chairperson
Striplin

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

Finance Chairperson
Willie Wong

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

Bonisteel

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

Jessica Calley-McDougal
Director, Private Client Group Compliance
Raymond James
St Petersburg, FL

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

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

member-photo

Patricia Mittler
Executive Director
UBS Securities LLC
New York, NY

Scott Palmer

Scott Palmer
Chief Regulatory Officer
Members Exchange
Jersey City, NJ

Stephen Portas
Chief Compliance Officer
Wellington Shields & Co.
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

Taylor

Melanie Taylor
Fort Mill, SC

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

Thomas Warshaw
Manager
NYSE Regulation
New York, NY

Joan Winkelmann
Director of Learning Support Center of Excellence
Edward Jones
St Louis, MO

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

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

James Nix
Executive Council, Office of the Secretary of State
Illinois Securities Department
Chicago, IL

Geri Pinarski
Manager, Regulation
Choe 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