NASD Announces Election Results for District Committees and District Nominating Committees
INFORMATIONAL
District Elections
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Executive Summary
Through this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The candidates nominated to the District Committees have been duly elected in Districts 2 through 9, and in District 11. The candidates nominated to the District Nominating Committees have been duly elected in all districts. The newly elected District Committee members will serve until January 2008,1 and the newly elected District Nominating Committee members will serve until January 2006.
In District 1 (San Francisco) and District 10 (New York), an additional candidate has satisfied the requirements of Article VIII of the By-Laws of NASD Regulation to contest the District Committee election. The outcome of these contested elections will be announced in a Notice to Members issued in January 2005.
The members of the incoming District Committees and the District Nominating Committees are included in Attachment A.
Questions/Further Information
Questions concerning this Notice may be directed to the District Director noted or to Barbara Z. Sweeney, Senior Vice President and Corporate Secretary, NASD, at (202) 728-8062 or via e-mail at: [email protected].
1 Some District Committee members were elected to fill existing vacancies and therefore may serve less than a three-year term, as indicated on Attachment A.
ATTACHMENT A
District Committees and District Nominating Committees 2005 Incoming Members
District 1
Elisabeth P. Owens, Regional Director, West Region
525 Market Street, Suite 300, San Francisco, CA 94105-2711
(415) 882-1200
Northern California (the counties of Monterey, San Benito, Fresno, and Inyo, and the remainder of the state north or west of such counties), northern Nevada (the counties of Esmeralda and Nye, and the remainder of the state north or west of such counties), and Hawaii
District 1 Committee Incoming Members
To Be Announced
District 1 Nominating Committee Incoming Members
| Robert S. Basso | National Financial Services, LLC | San Francisco, CA |
| L. Robert McKulla | Wachovia Securities, Inc. | Walnut Creek, CA |
| Robert A. Muh | Sutter Securities, Inc. | San Francisco, CA |
| G. Stuart Spence | UBS Financial Services, Inc. | San Francisco, CA |
| Samuel Yates | RBC Dain Rauscher | San Francisco, CA |
District 2
Lani M. Sen Woltmann, District Director
300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071
(213) 229-2300
Southern California (that part of the state south or east of the counties of Monterey, San Benito, Fresno, and Inyo), southern Nevada (that part of the state south or east of the counties of Esmeralda and Nye), and the former U.S. Trust Territories
District 2 Committee Incoming Members
| Kenneth R. Hyman | Partnervest Securities, Inc. | Santa Barbara, CA |
| Ismael Manzanares, Jr. (1-Year Term) | Foresters Equity Securities, Inc. | San Diego, CA |
| Bryan R. Plank | Merrill Lynch | San Diego, CA |
| Valorie Seyfert | CUSO Financial Services, L.P. | San Diego, CA |
District 2 Nominating Committee Incoming Members
| James E. Biddle | The Securities Center Incorporated | Chula Vista, CA |
| Terry L. Chase | Wachovia Securities, Inc. | Pasadena, CA |
| Richard B. Gunter | Wedbush Morgan Securities | Los Angeles, CA |
| Steven K. McGinnis | Irvine, CA | |
| Joel H. Ravitz | Quincy Cass Associates | Los Angeles, CA |
District 3
| Joseph M. McCarthy, District Director | James G. Dawson, District Director |
| 370 17th Street, Suite 2900 | Two Union Square, 601 Union Street |
| Denver, CO 80202-5629 | Suite 1616, Seattle, WA 98101-2327 |
| (303) 446-3100 | (206) 624-0790 |
| Arizona, Colorado, New Mexico, Utah, and Wyoming | Alaska, Idaho, Montana, Oregon, and Washington |
District 3 Committee Incoming Members
| Kathryn M. Dominick | TCAdvisors Network, Inc. | Englewood, CO |
| Craig A. Jackson | Northwest Consulting, LLC | Roseburg, OR |
| Harry L. Striplin | Paulson Investment Company, Inc. | Portland, OR |
District 3 Nominating Committee Incoming Members
| Gregory R. Anderson | TIAA-CREF Individual & Institutional Services, LLC | Denver, CO |
| Elyssa S. Baltazar | Morgan Stanley Dean Witter, Inc. | Denver, CO |
| Thomas R. Hislop | Peacock, Hislop, Staley & Given, Inc. | Phoenix, AZ |
| Clarence Fredrick Roed | RBC Dain Rauscher | Bellevue, WA |
| Kathryn A. Supko | Northwestern Mutual Investment Services, LLC | Boise, ID |
District 4
Thomas D. Clough, District Director
120 West 12th Street, Suite 900, Kansas City, MO 64105
(816) 421-5700
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota
District 4 Committee Incoming Members
| Allen J. Moore | SMITH HAYES Financial Services | Lincoln, NE |
| Stephen R. Oliver | Gold Capital Management, Inc. | Overland Park, KS |
| Minoo Spellerberg | Princor Financial Services Corporation | Des Moines, IA |
District 4 Nominating Committee Incoming Members
| Frank H. Kirk | Wachovia Securities LLC | Kansas City, MO |
| Timothy J. Lyle | Cambridge Investment Research | Fairfield, IA |
| Jeffrey A. Schuh | Residential Funding Securities Corp. | Minneapolis, MN |
| James H. Warner | The Warner Group | Sioux City, IA |
| Pamela R. Ziermann | Dougherty & Company LLC | Minneapolis, MN |
District 5
Warren A. Butler, Jr., Regional Director, South Region
1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802
(504) 522-6527
Alabama, Arkansas, Louisiana, Mississippi, Oklahoma, and Tennessee
District 5 Committee Incoming Members
| Philip J. Dorsey | Dorsey & Company, Inc. | New Orleans, LA |
| Fred G. Eason | Delta Trust Investments, Inc. | Little Rock, AR |
| Harold L. Gladney | Vining Sparks IBG, L.P. | Memphis, TN |
District 5 Nominating Committee Incoming Members
| John J. Dardis | Jack Dardis & Associates, Ltd. | Metairie, LA |
| David A. Knight | Stephens, Inc. | Little Rock, AR |
| LeRoy H. Paris, II | Invest Linc Securities, Inc. | Jackson, MS |
| Tom R. Steele | Equitable Advisors, Inc. | Nashville, TN |
| David W. Wiley, III | Wiley Bros., Aintree Capital, LLC | Nashville, TN |
District 6
Virginia F. M. Jans, District Director
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243
(972) 701-8554
Texas
District 6 Committee Incoming Members
| Bryan T. Emerson | Starlight Investments, LLC | Houston, TX |
| Michael A. Pagano | 1st Global Capital Corporation | Dallas, TX |
| William H. Lowell | Lowell & Co., Inc. | Lubbock, TX |
District 6 Nominating Committee Incoming Members
| Christopher R. Allison | M.E. Allison & Co., Inc. | San Antonio, TX |
| Sennett Kirk, III | Kirk Securities Corporation | Denton, TX |
| William B. Madden | Madden Securities Corporation | Dallas, TX |
| V. Keith Roberts | Stanford Group Company | Houston, TX |
| David W. Turner | Wachovia Securities, Inc. | Fort Worth, TX |
District 7
Daniel J. Stefak, District Director
One Securities Centre, Suite 500, 3490 Piedmont Road, NE, Atlanta, GA 30305
(404) 239-6100
Florida, Georgia, North Carolina, South Carolina, Puerto Rico, the Canal Zone, and the Virgin Islands
District 7 Committee Incoming Members
| Erick R. Holt, Esq. | AMVESCAP | Atlanta, GA |
| William G. McMaster | Scott & Stringfellow, Inc. | Columbia, SC |
| Charles F. O'Kelley | Atlantic Coast Securities Corporation | Tampa, FL |
District 7 Nominating Committee Incoming Members
| Jeffrey P. Adams | Balentine & Company | Atlanta, GA |
| Richard G. Averitt, III | Raymond James Financial Services, Inc. | St. Petersburg, FL |
| Richard V. McGalliard | Wachovia Securities, Inc. | Atlanta, GA |
| Kenneth W. McGrath | Popular Securities, Inc. | Hato Rey, Puerto Rico |
| Robert A. Young | Young, Stovall & Company | Miami, FL |
District 8
Carlotta A. Romano, District Director
55 West Monroe Street, Suite 2700, Chicago, IL 60603-5052
(312) 899-4400
Illinois, Indiana, Kentucky, Michigan, Ohio, and Wisconsin
District 8 Committee Incoming Members
| Richard M. Arceci | ValMark Securities, Inc. | Akron, OH |
| Ronald J. Dieckman | J.J.B. Hilliard, W.L. Lyons, Inc. | Louisville, KY |
| Julie E. Vander Weele | Mesirow Financial, Inc. | Chicago, IL |
District 8 Nominating Committee Incoming Members
| Bernard A. Breton | Carillon Investments, Inc. | Cincinnati, OH |
| William K. Curtis | M & I Brokerage Service, Inc. | Milwaukee, WI |
| Carol P. Foley | Podesta & Company | Chicago, IL |
| Gregory Goelzer | Goelzer Investment Management | Indianapolis, IN |
| Bruce J. Young | Mesirow Financial, Inc. | Chicago, IL |
District 9
| Gary K. Liebowitz, District Director 581 Main Street, 7th Floor Woodbridge, NJ 07095 (732) 596-2000 | John P. Nocella, District Director Eleven Penn Center, 1835 Market Street 19th Floor, Philadelphia, PA 19103 (215) 665-1180 |
| New Jersey and New York (except for the counties of Nassau and Suffolk, and the five boroughs of New York City) | Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia |
District 9 Committee Incoming Members
| Scott L. Fagin | The Jeffrey Matthews Financial Group, L.L.C. | Millburn, NJ |
| Rebecca L. Kohler | American Express Financial Advisors Inc. | Roanoke, VA |
| Jerome J. Murphy (1-Year Term) | Janney Montgomery Scott LLC | Philadelphia, PA |
| Harold N. Peremel (2-Year Term) | Peremel & Co., Inc. | Baltimore, MD |
| Dorothy G. Sanders | Fred Alger & Company, Incorporated | Jersey City, NJ |
District 9 Nominating Committee Incoming Members
| James E. Bickley | Cresap, Inc. | Horsham, PA |
| J. Lee Keiger, III | Davenport & Company, LLC | Richmond, VA |
| Michael S. Mortensen | PNC Investments | Pittsburgh, PA |
| Michael B. Row | Pershing, LLC | Jersey City, NJ |
| Howard B. Scherer | Janney Montgomery Scott LLC | Philadelphia, PA |
District 10
Hans Reich, Regional Director, New York Region
One Liberty Plaza, New York, NY 10006
(212) 858-4000
New York (the counties of Nassau and Suffolk, and the five boroughs of New York City)
District 10 Committee Incoming Members
To Be Announced
District 10 Nominating Committee Incoming Members
| William Behrens | Northeast Securities, Inc. | New York, NY |
| Jennifer A. Connors | ITG Inc. | New York, NY |
| Ruth S. Goodstein | UBS Financial Services, Inc. | New York, NY |
| Mark Ronda | Oppenheimer & Co., Inc. | New York, NY |
| Charles V. Senatore | Fidelity Brokerage Services, LLC | New York, NY |
District 11
Frederick F. McDonald, District Director
99 High Street, Suite 900, Boston, MA 02110
(617) 532-3400
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont
District 11 Committee Incoming Members
| Frank L. Chandler | Boston Capital Services, Inc. | Boston, MA |
| Joseph Gritzer | USI Securities, Inc. | Glastonbury, CT |
| Moira Lowe | Tower Square Securities, Inc. | Hartford, CT |
| Wilson G. Saville (1-Year Term) | Barrett & Company | Providence, RI |
District 11 Nominating Committee Incoming Members
| Michael C. Braun | Moors & Cabot, Inc. | Boston, MA |
| Andrew F. Detwiler | Vandham Securities Corp. | Boston, MA |
| John I. Fitzgerald | Leerink Swann & Company | Boston, MA |
| Thomas J. Horack | John Hancock Life Insurance Company | Boston, MA |
| Gregory D. Teese | Equity Services, Inc. | Montpelier, VT |