Detail by Officer/Registered Agent Name

Foreign Not For Profit Corporation

FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.

Filing Information
P18691 53-0088710 04/04/1988 DE ACTIVE NAME CHANGE AMENDMENT 08/07/2007 NONE
Principal Address
1700 K STREET, NW
WASHINGTON, DC 20006
Changed: 04/21/2024
Mailing Address
1700 K STREET, NW
WASHINGTON, DC 20006
Changed: 04/21/2024
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 DIRECTOR

DRUMMOND, LANCE F
14263 NOLEN LANE
CHARLOTTE, NC 28277
Title DIRECTOR

NAGENGAST, JAMES D
Securities America, Inc
12325 PORT GRACE BLVD
LA VISTA, NE 68128
Title CEO, PRESIDENT, DIRECTOR

COOK, ROBERT W
1700 K STREET, NW
WASHINGTON, DC 20006
Title DIRECTOR

PIERCE, PAIGE W
Apartment 435 Bley Investment Group, Inc., 4900 Gage Avenue
Fort Worth, TX 76109
Title Director

BUSETTE, CAMILLE M.
Brooking Institution
1775 MASSACHUSETTS AVENUE, NW
WASHINGTON, DC 20036
Title Director

TAFARA, ETHIOPIS
Multilateral Investment Guarantee Agency
1818 H Street, NW
WASHINGTON, DC 20436
Title Director

MURPHY, LINDE
Second Floor M.E. Allison & Co., Inc., 950 EAST BASSE ROAD
SAN ANTONIO, TX 78209
Title DIRECTOR

SCHEVE, TIMOTHY C
1717 ARCH STREET
22nd Floor Janney Montgomery Scott LLC,
PHILADELPHIA, PA 19103
Title DIRECTOR

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

Bailey, Deborah
1200 CALIFORNIA STREET
APT 19C
SAN FRANCISCO, CA 94109
Title DIRECTOR

NOLL, ERIC
Context Capital Partners
401 E. CITY AVENUE #815
BALA CYNWYD, PA 19004
Title DIRECTOR

JENSEN, MAUREEN
Ontario Securities Commission
117 CAMERON STREET
Toronto, Ontario N0H 2PO CA
Title Director

Crowley, James T
Pershing Advisor Solutions LLC
One Pershing Plaza
Jersey City, NJ 07399
Title Director

Ehnes, John(Jack)
CalSTRS
100 Waterfront Place
West Sacramento, CA 95605
Title Corporate Secretary, Executive Vice President

Asquith, Marcia E
1700 K STREET, NW
WASHINGTON, DC 20006
Title Director

Buckley, Mortimer J.
100 Vanguard Blvd
Malvern, PA 19355
Title Director

Ho, Peggy
Commonwealth Financial Network
9 Donizetti Street
Wellesley, MA 02482
Title Director

Deshpande, Samir
Humana Inc
500 W Main Street
Louisville, KY 40202
Title CFO, EVP, Treasurer

Diganci, Todd T
1700 K STREET, NW
WASHINGTON, DC 20006
Title Director

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

Roman, Derrick A
1700 K STREET, NW
WASHINGTON, DC 20006
Title Director

Curtis, Scott
Raymond James Financial Services, Inc
880 Carillon Parkway
St. Petersburg, FL 33716
Annual Reports
Report YearFiled Date
2022 04/22/2022
2023 04/24/2023
2024 04/21/2024

Document Images
04/21/2024 -- ANNUAL REPORT View image in PDF format
04/24/2023 -- ANNUAL REPORT View image in PDF format
04/22/2022 -- ANNUAL REPORT View image in PDF format
04/28/2021 -- ANNUAL REPORT View image in PDF format
02/07/2020 -- 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
08/07/2007 -- Name Change View image in PDF format
04/23/2007 -- 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
05/27/2005 -- ANNUAL REPORT View image in PDF format
04/29/2004 -- ANNUAL REPORT View image in PDF format
03/31/2003 -- ANNUAL REPORT View image in PDF format
04/10/2002 -- 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
05/05/1999 -- ANNUAL REPORT View image in PDF format
05/18/1998 -- ANNUAL REPORT View image in PDF format
06/12/1997 -- ANNUAL REPORT View image in PDF format
06/19/1996 -- ANNUAL REPORT View image in PDF format
04/26/1995 -- ANNUAL REPORT View image in PDF format