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FINRA REGULATION, INC.

Company Details

Entity Name: FINRA REGULATION, INC.
Jurisdiction: Connecticut
Legal type: Stock
Citizenship: Foreign
Status: Active
Sub status: Annual report due
Date Formed: 10 Dec 1996
Business ALEI: 0549538
Annual report due: 10 Dec 2025
NAICS code: 926150 - Regulation, Licensing, and Inspection of Miscellaneous Commercial Sectors
Business address: 1700 K STREET, NW, WASHINGTON, DC, 20006, United States
Mailing address: 1700 K STREET, NW, WASHINGTON, DC, United States, 20006
Place of Formation: DELAWARE
E-Mail: Compliancemail@cscinfo.com

Agent

Name Role
CORPORATION SERVICE COMPANY Agent

Director

Name Role Business address Business international address Residence address Residence international address
Fabiola Arredondo Director Siempre Holdings, 115 Mason St., Greenwich, CT, 06830, United States No data 115 Mason St, Siempre Holdings, Greenwich, CT, 06830, United States No data
Penny Pennington Director Edward Jones 12555 Manchester Rd,, St Louis, MO, 63131, United States No data 12555 Manchester Rd, Edward Jones, St. Louis, MO, 63131, United States No data
Scott Curtis Director 880 Carillon Parkway, St., 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
Lisa Fairfax Director 3501 Sanson Street, University of Pennsylvania, Philadelphia, PA, 19104, United States No data 3501 Sanson Street, University of Pennsylvania, Philadelphia, PA, 19104, United States No data
Gus Sauter Director BrandEmPower, 1465 Eaves Spring Drive, Malvern, PA, 19355, United States No data 1465 Eaves Spring Drive, BrandEmPower, Malvern, PA, 19355, United States No data
John (Jack) Ehnes Director 1137 Alpine Way, Lincoln, CA, 95648, United States No data 5112 Runway Dr, Fair Oaks, CA, 95628, United States No data
Paige W. Pierce Director 6300 Ridglea Pl, Suite 615 Bley Investment Group, Inc.,, 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
Eric Noll Director Stone Ridge Capital Partners LP, One Belmont Avenue,, Suite 600, Bala Cynwyd, PA, 19004, United States No data One Belmont Avenue, Suite 600, Context Capital Partners, Bala Cynwyd, PA, 19004, United States No data
Moira Kilcoyne Director 83 Ryerson Road, Warwick, NY, 10990, United States No data 83 Ryerson Road, Warwick, NY, 10990, United States No data
Camille M. Busette Director 1775 Massachusetts Avenue, NW, Brooking Institution, Washington, DC, 20036, United States No data 1775 Massachusetts Ave NW, Brookings Institution, Washington, DC, 20036, United States No data

Officer

Name Role Business address Residence address
Stephanie Dumont Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Nathaniel Stankard Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Maureen Delaney Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
William Wollman Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Rainia L. Washington Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Greg Ruppert Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K STREET, NW, WASHINGTON, DC, 20006, United States
William St Louis Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K STREET, NW, WASHINGTON, DC, 20006, United States
Richard W. Berry Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Robert W. Cook Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States
Geraldine M. Walsh Officer 1700 K STREET, NW, WASHINGTON, DC, 20006, United States 1700 K St NW, Washington, DC, 20006, United States

History

Type Old value New value Date of change
Name change NASD REGULATION, INC. FINRA REGULATION, INC. 2008-01-03

Filing

Filing number Filing date Effective date Filing category Filing type Report year
BF-0012174219 2024-12-07 No data Annual Report Annual Report No data
BF-0011262676 2023-12-01 No data Annual Report Annual Report No data
BF-0010321000 2022-12-27 No data Annual Report Annual Report 2022
BF-0010458174 2022-01-14 2022-01-14 Mass Agent Change � Address Agent Address Change No data
BF-0009828048 2021-12-20 No data Annual Report Annual Report No data
0007039913 2020-12-16 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
0006690169 2019-12-03 No data Annual Report Annual Report 2019
0006290245 2018-12-11 No data Annual Report Annual Report 2018

Date of last update: 06 Jan 2025

Sources: Connecticut's Official State Website