Council Members
Patricia Bartholomew
Managing Partner
Craig-Hallum Capital Group, LLC
Minneapolis, MI
William E. Bartol
Chief Compliance Officer
Cornerstone Real Estate Advisers LLC
Hartford, CT
Thomas Boyd
Vice President/Investments
Branch Manager
Stifel Nicolaus
Fort Lee, NJ
Lawrence J. Bresnahan
Vice President, Member Firm Regulation
Chicago Board Options Exchange
Chicago, IL
Ken Cherrier
Vice President, Director of Internal Supervision
Waddell & Reed, Inc.
Nicholas C. Cochran
Vice President
American Investors Company
San Ramon, CA
Michelle Cullen
Chief Compliance Officer
USB Fund Services (USA), LLC
David E. Fischer-Lodlike
HQ Compliance
Edward Jones Investments
Lisa Gray
Compliance Director
Invesco US Distributor Compliance
Loretta Jones
Director of Professional Qualifications
Municipal Securities Rulemaking Board
Alexandria, VA
John C. Kalohn
Vice President, Testing and Continuing Education
Financial Industry Regulatory Authority (FINRA)
Rockville, MD
Daryl E. King
OSJ Manager
Lincoln Financial Sec. Corp.
McMurray, PA
Arlene Klein
Director
RBC Capital Markets, LLC
Scott Kreuzinger
Director
Credit Suisse Securities USA LLC
Boston, MA
James Kruger
Partner, Director of Compliance
Crowell, Weedon & Co.
Los Angeles, CA
Winston A. McLaughlin
Corporate Vice President - Advanced Markets Compliance
New York Life Insurance Company
Leawood, KS
Cathie Seneca
Member
George Shick
Senior Vice President/Complex Manager
Morgan Stanley Smith Barney
George Shick
Senior Vice President / Complex Manager
Morgan Stanley Smith Barney
Santa Rosa, CA
Louis Sitnik
First Vice President/Market Administration
Wells Fargo Advisors, LLC
Andrew C. Small
General Counsel
Scottrade, Inc.
St. Louis, Missouri
Donald P. Southwick
Financial Advisor
FSC Securities Corp.
Troy, MI
Kenneth Wagner
Compliance Director
William Blair & Company, LLC
Chicago, IL
Pamela K Ziermann
Senior Vice President
Dougherty & Company
Minneapolis, MN
