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Finra Regulation, Inc.

Active Rockville, MD

Finra Regulation, Inc. Overview

Finra Regulation, Inc. filed as a Statement & Designation By Foreign Corporation in the State of California on Tuesday, December 10, 1996 and is approximately twenty-eight years old, according to public records filed with California Secretary of State. A corporate filing is called a foreign filing when an existing corporate entity files in a state other than the state they originally filed in. This does not necessarily mean that they are from outside the United States.

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Name
William H. Heyman 40 ~ Background Report ~	Chairman Director
Marcia E. Asquith 2 ~ Background Report ~	Secretary Secretary Evp Vice President Senior Vice-Presiden
Todd T. Diganci 2 ~ Background Report ~	Treasurer Treasurer EVP & CFO CFO Executive Vice Presi
James D. Nagengast 11 ~ Background Report ~	Director
Amy Webber 6 ~ Background Report ~	Director
Joshua Levine 4 ~ Background Report ~	Director
Kathy Murphy 3 ~ Background Report ~	Director
Timothy C. Scheve 2 ~ Background Report ~	Director
Susan Wolburgh Jenah 2 ~ Background Report ~	Director
Elisse B. Walter 2 ~ Background Report ~	Director
Joseph M. Mecane 2 ~ Background Report ~	Director
Camille M. Busette 1 ~ Background Report ~	Director
Clint W. Flint 1 ~ Background Report ~	Director
Eileen K. Murray 1 ~ Background Report ~	Director
Ethiopis Tafara 1 ~ Background Report ~	Director
Hillary A. Sale 1 ~ Background Report ~	Director
John Ehnes 1 ~ Background Report ~	Director
Linde Murphy 1 ~ Background Report ~	Director
Peter R. Fisher 1 ~ Background Report ~	Director
Stephen A. Kohn 1 ~ Background Report ~	Director
Lance F. Drummond 1 ~ Background Report ~	Director
Robert A. Renner 1 ~ Background Report ~	Vice-President
Geraldine Walsh 2 ~ Background Report ~	Svp Senior Vice President Vp
Michael G. Rufino 2 ~ Background Report ~	Evp
Bill Wollman 2 ~ Background Report ~	Evp Executive Vice President
Richard W. Berry 2 ~ Background Report ~	Evp Executive Vice President
Jonathan S. Sokobin 2 ~ Background Report ~	Svp Senior Vice President
Bari Havlik 1 ~ Background Report ~	Evp
Gregory J. Dean 1 ~ Background Report ~	Svp
Jessica Hopper 1 ~ Background Report ~	Svp
Rainia L. Washington 1 ~ Background Report ~	Evp
Steven J. Randich 2 ~ Background Report ~	Evp & Cio
Michael P. Hourigan 1 ~ Background Report ~	Svp/Cae
Maureen Delaney 1 ~ Background Report ~	Svp/Cho
Richard G. Ketchum 2 ~ Background Report ~	Chairman Chairman President CEO Director Chairman & CEO
Mary L. Schapiro 3 ~ Background Report ~	CEO Director Director
Brian J. Kovack 22 ~ Background Report ~	Director
Richard F. Brueckner 11 ~ Background Report ~	Director
Mark S. Casady 10 ~ Background Report ~	Director
Jed E. Bandes 8 ~ Background Report ~	Director
Gregory J. Fleming 6 ~ Background Report ~	Director
John J. Brennan 5 ~ Background Report ~	Director Director
Seth H. Waugh 5 ~ Background Report ~	Director
Rochelle Lazarus 4 ~ Background Report ~	Director
Ellyn L. Brown 4 ~ Background Report ~	Director Director
Robert Keenan 3 ~ Background Report ~	Director
Gary H. Stern 3 ~ Background Report ~	Director
W. Dennis Ferguson 3 ~ Background Report ~	Director
James C. Burton 3 ~ Background Report ~	Director
John W. Bachmann 3 ~ Background Report ~	Director
James Weddle 3 ~ Background Report ~	Director
Kevin Carreno 2 ~ Background Report ~	Director
John W. Schmidlin 2 ~ Background Report ~	Director
Mark W. Cresap 2 ~ Background Report ~	Director
Brigitte C. Madrian 2 ~ Background Report ~	Director
Leslie F. Seidman 2 ~ Background Report ~	Director
Luis M. Viceira 2 ~ Background Report ~	Director
John F X Dolan 2 ~ Background Report ~	Director
Harvey J. Goldschmid 2 ~ Background Report ~	Director
Shirley Ann Jackson 2 ~ Background Report ~	Director
Richard S. Pechter 2 ~ Background Report ~	Director
Joel Seligman 2 ~ Background Report ~	Director
Kurt P. Stocker 2 ~ Background Report ~	Director
Charles A. Bowsher 2 ~ Background Report ~	Director Director
Barbara Z. Sweeney 2 ~ Background Report ~	Secretary Vice President
Robert W. Scully 2 ~ Background Report ~	Director
Ken Norensberg 1 ~ Background Report ~	Director
Brian Corby 1 ~ Background Report ~	Director
William C. Alsover 1 ~ Background Report ~	Director
Charles I. Plosser 1 ~ Background Report ~	Director
Stephen I. Luparello 2 ~ Background Report ~	Vice President
Linda D. Fienberg 2 ~ Background Report ~	Vice President Evp & Cho
Tracy Johnson 2 ~ Background Report ~	Svp
Gregory Ahern 2 ~ Background Report ~	Officer
Thomas R. Gira 2 ~ Background Report ~	Evp
Steven A. Joachim 2 ~ Background Report ~	Evp
Thomas M. Selman 2 ~ Background Report ~	Evp
Susan F. Axelrod 2 ~ Background Report ~	Evp Officer
Cameron K. Funkhouser 2 ~ Background Report ~	Evp Executive Vice President
Gregory Ahern 2 ~ Background Report ~	Evp
J. Bradley Bennett 1 ~ Background Report ~	Evp Officer
Grace B. Vogel 1 ~ Background Report ~	Evp
Martin P. Colburn 1 ~ Background Report ~	Evp & Cto

Showing 8 records out of 83

Finra Regulation, Inc. lists four other companies as an officer in their company. It is not uncommon for one company to hold a position in another company.

Name	Status	Role
Richard G Ketchum (Chairman & CEO)	Inactive	President
Todd T Diganci (Evp & CFO)	Inactive	Treasurer
Marcia E Asquith (Svp & Corporate Secretary)	Inactive	Secretary
Marcia E Asquith, Senior VP & Secretary	Inactive	Secretary

385 Washington St Saint Paul, MN 55102 2711 Centerville Rd Wilmington, DE 19808 9509 Key West Ave Rockville, MD 20850 1308 Delaware Ave Wilmington, DE 19806 9059 Key West Ave Rockville, MD 20850 1735 K St NW Washington, DC 20006 4503 Boxwood Rd Bethesda, MD 20816 9513 Key West Ave Rockville, MD 20850 400 Devon Park Dr Wayne, PA 19087 2963 Gulf of Bay Blvd Clearwater, FL 33759

Florida Department of State

Filing Type:	Foreign Non Profit Corporation
Status:	Active
State:	Florida
State ID:	F97000006749
Date Filed:	Monday, December 15, 1997

Texas Secretary of State

Filing Type:	Foreign Nonprofit Corporation
Status:	Active In existence
State:	Texas
State ID:	11278607
Date Filed:	Wednesday, December 11, 1996
Registered Agent	Corporation Service Company D/B/A Csc-Lawyers Incorporating Service Company

California Secretary of State

Filing Type:	Statement & Designation By Foreign Corporation
Status:	Active
State:	California
Foreign State:	Delaware
State ID:	01995446
Date Filed:	Tuesday, December 10, 1996
Registered Agent	Corporation Service Company Which Will DO Business In California As Csc - Lawyers Incorporating Service

Nevada Secretary of State

Filing Type:	Foreign Corporation
Status:	Active
State:	Nevada
Foreign State:	Delaware
State ID:	C2586-1998
Date Filed:	Monday, February 9, 1998
Registered Agent	Csc Services of Nevada, Inc.

Corporate Notes

Date	Type	Note
12/11/1996	Application For Certificate Of Authority
12/30/1997	Articles Of Correction
1/30/1998	MA(ADCA)
2/9/1998	Foreign Qualification	THIS ENTITY IS A FOREIGN NON-PROFIT CORPORATION WITH STOCK.
3/17/1998	Initial List
3/4/1999	Annual List
10/29/1999	Registered Agent Address Change	CORPORATION TRUST COMPANY OF NEVAD KFA ONE EAST FIRST STREET RENO NV 89501 KFA
2/29/2000	Annual List
2/15/2002	Annual List
1/31/2003	Annual List
3/7/2004	Annual List	List of Officers for 2004 to 2005
4/16/2004	Annual List
2/14/2005	Annual List
11/14/2005	Change of Registered Agent/Office
11/16/2005	Registered Agent Change
2/6/2006	Annual List
1/22/2007	Annual List
1/24/2007	Change of Office by Registered Agent
1/3/2008	Application for Amended Certificate of Authority
1/3/2008	Amendment
2/8/2008	Annual List	08-09
9/16/2008	Report Notice
10/3/2008	Nonprofit Periodic Report
1/15/2009	Annual List
2/12/2010	Annual List
2/1/2011	Annual List
2/27/2012	Annual List
9/10/2012	Nonprofit Periodic Report
2/7/2013	Annual List	2013/2014
2/10/2014	Annual List
12/31/2014	Registered Agent Change
1/5/2015	Change of Registered Agent/Office
2/9/2015	Annual List	15-16
5/14/2015	Nonprofit Periodic Report
5/22/2015	Nonprofit Periodic Report
1/14/2016	Annual List	16-17
1/27/2016	Merge In
6/12/2017	Annual List
1/12/2018	Annual List	18-19
1/14/2019	Annual List	18-19
8/25/2020	Nonprofit Periodic Report

Sources

Florida Department of State
Data last refreshed on Saturday, April 6, 2024

Texas Secretary of State
Data last refreshed on Saturday, March 2, 2024

Nevada Secretary of State
Data last refreshed on Wednesday, May 8, 2019

California Secretary of State
Data last refreshed on Monday, April 4, 2022

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Finra Regulation, Inc.

Active Rockville, MD