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FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.

Company Details

Entity Name: FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
Jurisdiction: Connecticut
Legal type: Non-Stock
Citizenship: Foreign
Status: Active
Sub status: Annual report due
Date Formed: 20 Nov 1990
Business ALEI: 0255309
Annual report due: 20 Nov 2025
NAICS code: 813910 - Business Associations
Business address: 1700 K St NW, Washington, DC, 20006, United States
Mailing address: 9509 Key West Ave, Finance/Tax, Rockville, MD, United States, 20850
Place of Formation: DELAWARE
E-Mail: Compliancemail@cscinfo.com

Agent

Name Role
UNITED STATES CORPORATION COMPANY Agent

Officer

Name Role Business address Residence address
William St. Louis Officer 1700 K St NW, Washington, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Maureen Delaney Officer 1700 K St NW, Washington, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Jonathan S. Sokobin Officer 1700 K St NW, Washington, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Robert A. Renner Officer 1700 K St NW, Washington, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Gene DeMaio Officer 1700 K St NW, Washington, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Robert Colby Officer 1700 K St NW, Washington, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Robert W. Cook Officer 1700 K St NW, Washington, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Geraldine M. Walsh Officer 1700 K St NW, Washington, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Steven J. Randich Officer 1700 K St NW, Washington, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Stephanie Dumont Officer 1700 K St NW, Washington, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States

Director

Name Role Business address Business international address Residence address Residence international address
Wendy Lanton Director 35 Pinelawn Road, Herold & Lantern Investments Inc, Suite 101E, Melville, NY, 11747, United States No data 35 Pinelawn Road, Herold & Lantern Investments Inc, Suite 101E, Melville, NY, 11747, United States No data
Paige W. Pierce Director 6300 Ridglea Pl, Bley Investment Group, Inc., Ste 615, Fort Worth, TX, 76116, United States No data 6300 Ridglea Pl, Bley Investment Group, Inc., Ste 615, Fort Worth, TX, 76116, United States No data
Peggy Ho Director 9 Donizetti Street, Commonwealth Financial Network, Wellesley, MA, 02482, United States No data 9 Donizetti Street, Commonwealth Financial Network, Wellesley, MA, 02482, United States No data
Lance F. Drummond Director 14263 Nolen Ln, Charlotte, NC, 28277, United States No data 14263 Nolen Ln, Charlotte, NC, 28277, United States No data
Scott Curtis Director 880 Carillon Parkway, Raymond James Financial Services, Inc., St. Petersburg, FL, 33716, United States No data 880 Carillon Parkway, Raymond James Financial Services, Inc., St. Petersburg, FL, 33716, United States No data
Timothy C. Scheve Director 920 High Lake Rd, Sharon, VT, 05065, United States No data 1717 Arch Street, Janney Montgomery Scott LLC, FL 22, Philadelphia, PA, 19103, United States No data
Ethiopis Tafara Director 1818 H St NW, Multilateral Investment Guarantee Agency, Washington, DC, 20436, United States No data 1818 H St NW, Multilateral Investment Guarantee Agency, Washington, DC, 20436, United States No data
Camille M. Busette Director 1775 Massachusetts Ave NW, Brookings Institution, Washington, DC, 20036, United States No data 1775 Massachusetts Ave NW, Brookings Institution, Washington, DC, 20036, United States No data
Samir Deshpande Director 500 W Main Street, 6th Floor, Humana Inc, Louisville, KY, 40202, United States No data 500 W Main Street, 6th Floor, Humana Inc, Louisville, KY, 40202, United States No data
Linde Murphy Director 950 East Basse Road, M.E. Allison & Co., Inc., 2nd Floor, San Antonio, TX, 78209, United States No data 950 East Basse Road, M.E. Allison & Co., Inc., 2nd Floor, San Antonio, TX, 78209, United States No data

History

Type Old value New value Date of change
Name change NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. 2007-08-03

Filing

Filing number Filing date Effective date Filing category Filing type Report year
BF-0012270810 2024-11-18 No data Annual Report Annual Report No data
BF-0011389026 2023-11-06 No data Annual Report Annual Report No data
BF-0011331347 2022-11-29 2022-11-29 Interim Notice Interim Notice No data
BF-0010284105 2022-11-10 No data Annual Report Annual Report 2022
BF-0010458157 2022-01-14 2022-01-14 Mass Agent Change � Address Agent Address Change No data
BF-0009823535 2021-11-17 No data Annual Report Annual Report No data
0007019334 2020-11-16 No data Annual Report Annual Report 2020
0006950703 2020-07-06 2020-07-06 Change of Agent Address Agent Address Change No data
0006943532 2020-07-06 2020-07-06 Change of Agent Address Agent Address Change No data
0006681526 2019-11-15 No data Annual Report Annual Report 2019

Date of last update: 10 Mar 2025

Sources: Connecticut's Official State Website