Council Members

Kelly M. Anderson

Corporate Compliance Principal
Allianz Life Financial Services, LLC

Tammy R. Beaver

SVP, Chief Supervisory Officer
Wealth Management
D.A. Davidson & Co.

Lawrence J. Bresnahan

Vice President, Member Firm Regulation
Chicago Board Options Exchange

Russ Davidson

Compliance Director
Credit Suisse

Lance B. Fraser

Managing Director & Head of Business Due Diligence
Merrill Lynch Wealth Management

Jeffry F. Freiburger

Managing Director/Chief Compliance Officer
Robert W. Baird & Co.

Elizabeth A. Hansen

Chief Compliance Officer
Waddell & Reed

Gina E. Hyde

Chief Compliance Officer
Stifel Financial

Bri Joiner

Manager of Professional Qualifications
Municipal Securities Rulemaking Board
Washington, DC

John C. Kalohn

Senior Advisor
Registration & Disclosure
Financial Industry Regulatory Authority (FINRA)

Steven Longo

Chief Compliance Officer
Harbor Platform Inc.

Gregor B. Maitland

Deputy Chief Compliance Officer
Lincoln Financial Group

Sandra Y.S. Mao

Head of U.S. Supervision
Scotia Capital USA, Inc.

Ronald Olexsak

Chief Compliance Officer
Thornburg Securities Corporation

Scott Palmer

NYSE Regulation
New York, NY

James Papagiannis

Chief Compliance Officer
Incapital LLC

Brian K. Shobert

Major Market Administration Manager
Wells Fargo Advisors

Timothy Stone

VP/Head of Supervision
Cetera Advisor Networks, LLC.

Gwen K. Weithaus

Compliance Director
Northwestern Mutual