Detail by Officer/Registered Agent Name

Foreign Not For Profit Corporation

FINRA REGULATION, INC.

Filing Information
F97000006749 52-1959501 12/15/1997 DE ACTIVE NAME CHANGE AMENDMENT 01/02/2008 NONE
Principal Address
1700 K Street NW
WASHINGTON, DC 20006
Changed: 04/04/2024
Mailing Address
1700 K Street NW
WASHINGTON, DC 20006
Changed: 04/04/2024
Registered Agent Name & Address CORPORATION SERVICE COMPANY
1201 HAYS STREET
TALLAHASSEE, FL 32301-2525
Name Changed: 01/09/2015

Address Changed: 01/09/2015
Officer/Director Detail Name & Address

Title Treasurer, CFO

DIGANCI, TODD T
1700 K Street NW
WASHINGTON, DC 20006
Title Secretary

ASQUITH, MARCIA E
1700 K Street NW
WASHINGTON, DC 20006
Title Director

Roman, Derrick A
1700 K Street NW
WASHINGTON, DC 20006
Title VP

WALSH, GERALDINE M
1700 K Street NW
WASHINGTON, DC 20006
Title VP

SOKOBIN, JONATHAN S
1700 K Street NW
WASHINGTON, DC 20006
Title VP

BERRY, RICHARD W
1700 K Street NW
WASHINGTON, DC 20006
Title VP

COLBY, ROBERT
1700 K Street NW
WASHINGTON, DC 20006
Title VP

RANDICH, STEVEN J
1700 K Street NW
WASHINGTON, DC 20006
Title President, Director, CEO

COOK, ROBERT W.
1700 K Street NW
WASHINGTON, DC 20006
Title SVP

DEAN JR., GREGORY J
1735 K STREET, NW
WASHINGTON, DC 20006
Title Director

PIERCE, PAIGE W
Suite 615 Bley Investment Group, Inc., 6300 Ridglea Pl
FORT WORTH, TX 76116
Title DIRECTOR

MURPHY, LINDE
950 East Basse Road,
SAN ANTONIO, TX 78209
Title VP

RENNER, ROBERT A.
1700 K Street NW
WASHINGTON, DC 20006
Title VP

DOMBAY, DENISE
1700 K Street NW
WASHINGTON, DC 20006
Title Director

NOLL, ERIC
One Belmont Avenue,
BALA CYNWYD, PA 19004
Title VP

DELANEY, MAUREEN
1700 K Street NW
WASHINGTON, DC 20006
Title VP

DUMONT, STEPHANIE
1700 K Street NW
WASHINGTON, DC 20006
Title DIRECTOR

LANTON, WENDY
35 PINELAWN ROAD
SUITE 101E
MELVILLE, NY 11747
Title Director

DESHPANDE, SAMIR
500 W MAIN STREET
LOUISVILLE, KY 40202
Title DIRECTOR

HO, PEGGY
9 DONIZETTI STREET
WELLESLEY, MA 02482
Title DIRECTOR

BUCKLEY, MORTIMER J
100 VANGUARD BLVD
MALVERN, PA 19355
Title Director

CROWLEY, JAMES T
ONE PERSHING PLAZA
JERSEY CITY, NJ 07399
Title Director

BAILEY, DEBORAH
1200 CALIFORNIA STREET
APT 19C
SAN FRANCISCO, CA 94109
Title VP

RUPPER, GREG
1700 K Street NW
WASHINGTON, DC 20006
Title DIRECTOR

JENSEN, MAUREEN
117 CAMERON STREET
ONTARIO SECURITIES COMMISSION
THORNBURY, ONTARIO N0H 2P0 CA
Title Director

Busette, Camille m
1775 Massachusetts Avenue, NW
Washington, DC 20036
Title Director

Tafara, Ethiopis
1818 H Street , NW,
Washington, DC 20436
Title Director

Arredondo, Fabiola
115 Mason St.,
Greenwich, CT 06830
Title VP

DeMaio, Gene
1700 K Street NW
WASHINGTON, DC 20006
Title VP

Ruppert, Greg
1700 K Street NW
WASHINGTON, DC 20006
Title Director

Sauter, Gus
1700 K Street NW
WASHINGTON, DC 20006
Title Director

Ehnes, John
1700 K Street NW
WASHINGTON, DC 20006
Title Director

Drummond, Lance F
14263 Nolen Lane,
Charlotte, NC 28277
Title Director

Fairfax, Lisa
3501 Sanson Street,
Philadelphia, PA 19104
Title Director

Kilcoyne, Moira
83 Ryerson Road,
Warwick, NY 10990
Title VP

Stankard, Nathaniel
1700 K Street NW
WASHINGTON, DC 20006
Title Director

Pennington, Penny
12555 Manchester Rd,
, St Louis,, MO 63131
Title VP

Washington, Rainia L
1700 K Street NW
WASHINGTON, DC 20006
Title Director

Curtis, Scott
880 Carillon Parkway,
St. Petersburg,, FL 33716
Title Director

Scheve, Timothy C
1717 Arch Street,
Philadelphia, PA 19103
Title VP

St Louis, William
1700 K Street NW
WASHINGTON, DC 20006
Title VP

Wollman, William
1700 K Street NW
WASHINGTON, DC 20006
Annual Reports
Report YearFiled Date
2022 04/28/2022
2023 04/24/2023
2024 04/04/2024

Document Images
04/04/2024 -- ANNUAL REPORT View image in PDF format
04/24/2023 -- ANNUAL REPORT View image in PDF format
04/28/2022 -- ANNUAL REPORT View image in PDF format
04/29/2021 -- ANNUAL REPORT View image in PDF format
02/08/2020 -- ANNUAL REPORT View image in PDF format
04/29/2019 -- ANNUAL REPORT View image in PDF format
04/24/2018 -- ANNUAL REPORT View image in PDF format
04/26/2017 -- ANNUAL REPORT View image in PDF format
04/29/2016 -- ANNUAL REPORT View image in PDF format
05/01/2015 -- ANNUAL REPORT View image in PDF format
01/09/2015 -- Reg. Agent Change View image in PDF format
04/04/2014 -- ANNUAL REPORT View image in PDF format
04/04/2013 -- ANNUAL REPORT View image in PDF format
04/12/2012 -- ANNUAL REPORT View image in PDF format
03/30/2011 -- ANNUAL REPORT View image in PDF format
03/22/2010 -- ANNUAL REPORT View image in PDF format
04/07/2009 -- ANNUAL REPORT View image in PDF format
04/08/2008 -- ANNUAL REPORT View image in PDF format
01/02/2008 -- Name Change View image in PDF format
04/30/2007 -- ANNUAL REPORT View image in PDF format
04/14/2006 -- ANNUAL REPORT View image in PDF format
10/20/2005 -- Reg. Agent Change View image in PDF format
04/21/2005 -- ANNUAL REPORT View image in PDF format
05/03/2004 -- ANNUAL REPORT View image in PDF format
03/31/2003 -- ANNUAL REPORT View image in PDF format
04/11/2002 -- ANNUAL REPORT View image in PDF format
04/19/2001 -- ANNUAL REPORT View image in PDF format
06/05/2000 -- ANNUAL REPORT View image in PDF format
04/29/1999 -- ANNUAL REPORT View image in PDF format
05/14/1998 -- ANNUAL REPORT View image in PDF format
12/15/1997 -- Foreign Non-Profit View image in PDF format