Industry Governor (Mid-size Firm Representative)Global Head, Pershing Advisor Solutions LLCGovernor Since 2021Committees: Regulatory Policy CommitteeProfessional ExperiencePershing Advisor Solutions LLCGlobal Head (2023 – present)Chief Executive Officer (2019 – 2023)Chief Operating Officer (2017 – 2019)Chief Relationship Officer, Managing Director (1995 – 2017)EducationBA, Florida State
Public GovernorRetiredGovernor Since 2022Committees: Compensation & Human Capital Committee, Finance, Operations & Technology Committee, Regulatory Policy CommitteeProfessional ExperienceMAK Management Consulting (2016 – 2022)Morgan StanleyCo-CIO and Managing Director, Global Technology (2013 – 2016)Managing Director and CIO – Wealth and Investment Management (2010 – 2013)Managing
Public GovernorRetiredGovernor Since 2018Committees: Audit & Risk Committee (Chair), Compensation & Human Capital Committee, Conflicts Committee, Executive CommitteeProfessional ExperienceExecutive in Residence, Christopher Newport University (2015 – 2018)Executive Vice President, Operations and Technology, TD Canada Trust (2011 – 2015)Executive Vice President, Human
Industry Governor (Large Firm Representative)Managing Partner, Edward JonesGovernor Since 2022Committees: Audit & Risk Committee, Finance, Operations & Technology CommitteeProfessional ExperienceEdward JonesManaging Partner (2019 – present)Principal, Client Strategies Group (2015 – 2019)Principal, Branch and Region Development (2011– 2015)Principal, Branch Office Administrator
Neutral Corner - October 2007
FINRA announced today that Derrick Roman, former partner of PricewaterhouseCoopers LLP (PwC), and Gus Sauter, current member of FINRA’s Investment Committee, have been appointed as public governors on its Board of Governors. In addition, Naureen Hassan, President of UBS Americas and CEO of UBS Holdings, has been appointed as an industry governor to the Floor Member Governor seat.
