Skip navigation

FSI Snags More FINRA Representation

The Financial Services Institute now makes up nearly two-thirds of FINRA’s district committee seats, with 16 of the 25 seats going to its member firms. The news gives the independent broker/dealer advocacy group an even greater voice in government. This year, FSI has been working on increasing its advocacy power, including getting its membership up 90 percent from last year. Last month, the group also increased its fees for member firms.

In addition to the 12 highlighted names below, four FSI members won uncontested seats: Alan Carlisle, Stephen Chipman, Davis Stringer, Lynn Goebel. And the District Committee seats go to (FSI members are in red):

District 1:

Large Firm Representative • Bill Hatcher, Wells Fargo Advisors, LLC

District 2:

Mid-Size Firm Representative • Houston A. Goddard, Girard Securities, Inc.

Large Firm Representative • Kathleen D. VanNoy-Pineda, LPL Financial

District 3:

Small Firm Representative • Chester Hebert, Colorado Financial Service Corporation Large Firm Representative • Lance Wells, Metropolitan Life Insurance Company

District 4:

Small Firm Representative • J. Daniel Stepp, Central States Capital Markets, LLC

Large Firm Representative • Terry L. Lister, Waddell & Reed, Inc.

District 5:

Small Firm Representative • Carolyn May, Simmons First Investment Group, Inc.

Large Firm Representative • Patrick Dogan, Sterne, Agee & Leach, Inc.

District 6:

Small Firm Representative • Darla K. Bartkowiak, Amherst Securities Group, LP

Large Firm Representative • Christine L. Staib, LPL Financial

District 7:

Mid-Size Firm Representative • Brian Kovack, Esq., Kovack Securities, Inc.

Large Firm Representative • Ken Muraoka, FSC Securities

District 8:

Small Firm Representative • Gina Bokios, Regal Securities, Inc.

Large Firm Representative • Erwin J. Dugasz, Jr., Nationwide Investment Services Corporation

District 9:

Small Firm Representative • Victoria Bach-Fink, Wall Street Financial Group, Inc.

Large Firm Representative • Nancy L. Heffner, Lincoln Investment Planning, Inc.

District 10:

Large Firm Representative • Joseph Neary, Royal Alliance Associates, Inc.

District 11:

Small Firm Representative • John I. Fitzgerald, Leerink Swann LLC

Large Firm Representative • Paul J. Tolley, Commonwealth Financial Network

Hide comments


  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.