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Financial Industry Regulatory Authority, Inc.

Active Rockville, MD

(240)386-5339

Financial Industry Regulatory Authority, Inc. Overview

Financial Industry Regulatory Authority, Inc. filed as a Statement & Designation By Foreign Corporation in the State of California on Friday, October 13, 1939 and is approximately eighty-five years old, as recorded in documents 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
Todd T. Diganci 2 ~ Background Report ~	Treasurer Evp CFO Evp & CFO Executive Vice Presi
Marcia E. Asquith 2 ~ Background Report ~	Secretary Secretary Evp Director Senior Vice-Presiden
William H. Heyman 40 ~ Background Report ~	Director Director
Brian J. Kovack 22 ~ Background Report ~	Director
James D. Nagengast 11 ~ Background Report ~	Director
Amy Webber 6 ~ Background Report ~	Director
Kathy Murphy 3 ~ Background Report ~	Director
Joseph M. Mecane 2 ~ Background Report ~	Director
Susan Wolburgh Jenah 2 ~ Background Report ~	Director
Elisse B. Walter 2 ~ Background Report ~	Director
Paige W. Pierce 2 ~ Background Report ~	Director
Charles I. Plosser 1 ~ 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
Robert A. Renner 1 ~ Background Report ~	Vice-President
Richard W. Berry 2 ~ Background Report ~	Evp Vice-President
Bill Wollman 2 ~ Background Report ~	Evp Senior Vice-Presiden
Michael G. Rufino 2 ~ Background Report ~	Evp Senior Vice-Presiden
Bari Havlik 1 ~ Background Report ~	Evp
Gregory J. Dean 1 ~ Background Report ~	Svp
Jessica Hopper 1 ~ Background Report ~	Evp
Rainia L. Washington 1 ~ Background Report ~	Evp
Michael P. Hourigan 1 ~ Background Report ~	Svp/Cae Vice-President
Jonathan S. Sokobin 2 ~ Background Report ~	Svp & Chief Economis
Maureen Delaney 1 ~ Background Report ~	Svp/Cho
Richard G. Ketchum 2 ~ Background Report ~	Chairman President Director Chairman & CEO
Linda D. Fienberg 2 ~ Background Report ~	President Evp & Cho
Mary L. Schapiro 3 ~ Background Report ~	CEO Director
John S. Simmers 17 ~ Background Report ~	Director
Richard F. Brueckner 11 ~ Background Report ~	Director
Jed E. Bandes 8 ~ Background Report ~	Director
Gregory J. Fleming 6 ~ Background Report ~	Director
Seth H. Waugh 5 ~ Background Report ~	Director
John J. Brennan 5 ~ Background Report ~	Director Director
Ellyn L. Brown 4 ~ Background Report ~	Director
Rochelle Lazarus 4 ~ Background Report ~	Director
James Weddle 3 ~ Background Report ~	Director
W. Dennis Ferguson 3 ~ Background Report ~	Director
James C. Burton 3 ~ Background Report ~	Director
Robert J. McCann 2 ~ Background Report ~	Director
Duncan F. Williams 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
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
Charles A. Bowsher 2 ~ Background Report ~	Director Director
Thomas A. Russo 2 ~ Background Report ~	Director
Robert W. Scully 2 ~ Background Report ~	Director
Brian Corby 1 ~ Background Report ~	Director
Mark A. Sargent 1 ~ Background Report ~	Director
G. Donald Steel 1 ~ Background Report ~	Director
T. Grant Callery 1 ~ Background Report ~	Director Executive Vice Presi
Alton L Chip Jones ~ Background Report ~	Vice-President
Andrew L. Kagan ~ Background Report ~	Vice-President
John H. Komoroske ~ Background Report ~	Vice-President
Jon Kroeper ~ Background Report ~	Vice-President
Alan B. Lawhead ~ Background Report ~	Vice-President
Thomas B. Lawson ~ Background Report ~	Vice-President
Ivette Lopez ~ Background Report ~	Vice-President
Joseph M. McCarthy ~ Background Report ~	Vice-President
James M. McNamara ~ Background Report ~	Vice-President
Monique T. McNamara ~ Background Report ~	Vice-President
Katherine A. Malfa ~ Background Report ~	Vice-President
Helen J. Moore ~ Background Report ~	Vice-President
Eric J. Moss ~ Background Report ~	Vice-President
Susan C. Murdoch ~ Background Report ~	Vice-President
Daniel A. Nathan ~ Background Report ~	Vice-President
Judith Hale Norris ~ Background Report ~	Vice-President
Thomas A. Pappas ~ Background Report ~	Vice-President
Rodger D. Pinder ~ Background Report ~	Vice-President
Dorothy A. Popp ~ Background Report ~	Vice-President
Joseph E. Price ~ Background Report ~	Vice-President
Timothy J. Pupo ~ Background Report ~	Vice-President
Barbara L. Brady ~ Background Report ~	Vice-President
Elizabeth R. Clancy ~ Background Report ~	Vice-President
Nancy A. Condon ~ Background Report ~	Vice-President
Timothy G. Coon ~ Background Report ~	Vice-President
Krisoula Dailey ~ Background Report ~	Vice-President
Phung Thi Daniel ~ Background Report ~	Vice-President
John C. Desaix ~ Background Report ~	Vice-President
Mario A. Ditrapani ~ Background Report ~	Vice-President
Stephanie M. Dumont ~ Background Report ~	Vice-President
Saman M. Far ~ Background Report ~	Vice-President
Jean I. Feeney ~ Background Report ~	Vice-President
John J. Flood ~ Background Report ~	Vice-President
Rory C. Flynn ~ Background Report ~	Vice-President
Robert L Len Gatrell ~ Background Report ~	Vice-President
Martin E. Goldman ~ Background Report ~	Vice-President
Gary L. Goldsholle ~ Background Report ~	Vice-President
Helena Light Hadley ~ Background Report ~	Vice-President
Paul P. Andrews ~ Background Report ~	Vice-President
Katri Arcaro ~ Background Report ~	Vice-President
Michell C. Atkins ~ Background Report ~	Vice-President
Julie W. Bauer ~ Background Report ~	Vice-President
P. Susan Baumann ~ Background Report ~	Vice-President
Stephen I. Luparello 2 ~ Background Report ~	Senior Ex. Vice-Pres
Thomas R. Gira 2 ~ Background Report ~	Evp Executive Vice Presi
Steven A. Joachim 2 ~ Background Report ~	Evp Executive Vice Presi
Thomas M. Selman 2 ~ Background Report ~	Evp Executive Vice Presi
Susan F. Axelrod 2 ~ Background Report ~	Evp Senior Vice-Presiden
Cameron K. Funkhouser 2 ~ Background Report ~	Evp Senior Vice-Presiden
Gregory Ahern 2 ~ Background Report ~	Evp
Kenneth L. Andrichik 1 ~ Background Report ~	Senior Vice-Presiden
George H. Friedman 1 ~ Background Report ~	Executive Vice Presi
James P. Donovan 1 ~ Background Report ~	Senior Ex. Vice-Pres
Martin P. Colburn 1 ~ Background Report ~	Executive Vice Presi Evp & Cto
Grace B. Vogel 1 ~ Background Report ~	Evp Executive Vice Presi
J. Bradley Bennett 1 ~ Background Report ~	Evp
James J. Cummings ~ Background Report ~	Executive Vice Presi
Robert C. Errico ~ Background Report ~	Executive Vice Presi
Derek W. Linden ~ Background Report ~	Executive Vice Presi
Marc Menchel ~ Background Report ~	Executive Vice Presi
Susan L. Merrill ~ Background Report ~	Executive Vice Presi
Howard M. Schloss ~ Background Report ~	Executive Vice Presi
James S. Shorris ~ Background Report ~	Executive Vice Presi
Daniel M. Sibears ~ Background Report ~	Executive Vice Presi
Richard A. Bachman ~ Background Report ~	Senior Vice-Presiden
Gene G. Demaio ~ Background Report ~	Senior Vice-Presiden
Eileen M. Famiglietti ~ Background Report ~	Senior Vice-Presiden
David M. Fitzgerald ~ Background Report ~	Senior Vice-Presiden
Lawrence E. Fitzpatrick ~ Background Report ~	Senior Vice-Presiden
Karrie E. Foley ~ Background Report ~	Senior Vice-Presiden
John M. Gannon ~ Background Report ~	Senior Vice-Presiden
Patrice M. Gliniecki ~ Background Report ~	Senior Vice-Presiden
Emily P. Gordy ~ Background Report ~	Senior Vice-Presiden
Virginia F M Jeannie Jans ~ Background Report ~	Senior Vice-Presiden
Steven A. Jarrett ~ Background Report ~	Senior Vice-Presiden
Susan E. Light ~ Background Report ~	Senior Vice-Presiden
Holly L. Lokken ~ Background Report ~	Senior Vice-Presiden
Cathy M. Mattax ~ Background Report ~	Senior Vice-Presiden
Angela A. Posillico ~ Background Report ~	Senior Vice-Presiden
James F. Price ~ Background Report ~	Senior Vice-Presiden
Anand K. Ramtahal ~ Background Report ~	Senior Vice-Presiden
Gregory B. Raymond ~ Background Report ~	Senior Vice-Presiden
Everett French Reese ~ Background Report ~	Senior Vice-Presiden
Hans-Linhard Reich ~ Background Report ~	Senior Vice-Presiden
Mark W. Rippe ~ Background Report ~	Senior Vice-Presiden
Stephen M. Schoeneman ~ Background Report ~	Senior Vice-Presiden
Catherine C. Tighe ~ Background Report ~	Senior Vice-Presiden
Boris A. Wessely ~ Background Report ~	Senior Vice-Presiden
Robert L. Wood ~ Background Report ~	Senior Vice-Presiden
Carlotta A. Romano ~ Background Report ~	Senior Vice-Presiden
David E. Rosenstein ~ Background Report ~	Senior Vice-Presiden

Showing 8 records out of 156

Financial Industry Regulatory Authority, Inc. lists three 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

55 W Monroe St Chicago, IL 60603 14 Wall St New York, NY 10005 120 W 12th St Kansas City, MO 64105 2711 Centerville Rd Wilmington, DE 19808 12801 N Central Expy Dallas, TX 75243 100 S Wacker Dr Chicago, IL 60606 1 Liberty Plz New York, NY 10006 165 Broadway New York, NY 10006 730 3rd Ave New York, NY 10017 3411 Silverside Rd Wilmington, DE 19810

Florida Department of State

Filing Type:	Foreign Non Profit Corporation
Status:	Active
State:	Florida
State ID:	P18691
Date Filed:	Monday, April 4, 1988

Texas Secretary of State

Filing Type:	Foreign Nonprofit Corporation
Status:	Active In existence
State:	Texas
State ID:	4029707
Date Filed:	Monday, February 14, 1977
Registered Agent	Corporate Creations Network,Inc.

California Secretary of State

Filing Type:	Statement & Designation By Foreign Corporation
Status:	Active
State:	California
Foreign State:	Delaware
State ID:	00181267
Date Filed:	Friday, October 13, 1939
Registered Agent	Corporation Service Company Which Will DO Business In California As Csc - Lawyers Incorporating Service

Nevada Secretary of State

Filing Type:	Foreign Non-Profit Corporation
Status:	Active
State:	Nevada
Foreign State:	Delaware
State ID:	C5791-1991
Date Filed:	Wednesday, July 3, 1991
Registered Agent	Csc Services of Nevada, Inc.

Corporate Notes

Date	Type	Note
2/14/1977	Application For Certificate Of Authority
4/4/1977	TAXEXEMP
6/9/1983	901RPT
1/6/1985	Change Of Registered Agent/Office
8/29/1990	Change Of Registered Agent/Office
7/3/1991	Foreign Qualification
7/15/1998	Annual List
8/11/1999	Annual List
10/29/1999	Registered Agent Address Change	CORPORATION TRUST COMPANY OF NEVAD KFA ONE EAST FIRST STREET RENO NV 89501 KFA
8/2/2000	Annual List
7/19/2001	Annual List
7/15/2002	Annual List
6/17/2003	Annual List
7/20/2004	Annual List	List of Officers for 2004 to 2005
6/30/2005	Annual List
11/14/2005	Change of Registered Agent/Office
11/16/2005	Registered Agent Change
7/18/2006	Annual List
10/25/2006	Correction
10/25/2006	Registered Agent Change
1/24/2007	Change of Office by Registered Agent
7/27/2007	Annual List
7/31/2007	Application for Amended Certificate of Authority
8/3/2007	Amendment
5/22/2008	Annual List
9/9/2008	Report Notice
9/26/2008	Nonprofit Periodic Report
6/18/2009	Annual List
6/24/2010	Annual List
7/5/2011	Annual List
7/16/2012	Annual List
9/7/2012	Nonprofit Periodic Report
7/17/2013	Annual List	13-14
6/30/2014	Annual List
12/30/2014	Change of Registered Agent/Office
12/30/2014	Registered Agent Change
5/22/2015	Nonprofit Periodic Report
7/23/2015	Annual List
7/14/2016	Annual List
5/30/2017	Annual List
5/23/2018	Annual List	2018-2019
8/25/2020	Nonprofit Periodic Report

Trademarks for Financial Industry Regulatory Authority, Inc.

	Trace Serial Number: 86896054 Drawing Code: 4000
	Finra Securities Helpline for Seniors Serial Number: 86598445 Drawing Code: 4000
	Pfrd Serial Number: 86613445 Drawing Code: 4000
	Finra Private Fund Reporting Depository Serial Number: 86613595 Drawing Code: 4000
	Brokercheck Serial Number: 86607969 Drawing Code: 3000
	Finra Ce Online System Serial Number: 86657682 Drawing Code: 4000
	Helps Serial Number: 86598235 Drawing Code: 4000
	Sie Serial Number: 86658092 Drawing Code: 4000
	Securities Industry Essentials Serial Number: 86658247 Drawing Code: 4000
	Finra Funding Portal Registration Depository Serial Number: 86613714 Drawing Code: 4000