FINRA REGULATION, INC. (Business# 54694) is a corporation registered with Vermont Secretary of the State (SOS). The registration date is December 17, 1997.
| Business Name | FINRA REGULATION, INC. |
| Business ID | 54694 |
| File Number | N09729 |
| Principal Office Address |
1735 K Street Nw Washington DC 20006 |
| Mailing Address |
9509 Key West Avenue Finance/tax Rockville MD 20850 |
| Foreign Address |
1735 K Street Nw Washington DC 20006 |
| Formation Place | Delaware |
| Business Type | Foreign Non-profit Corporation |
| Corporation Type | NON-PROFIT |
| Business Status | Active |
| Business Origin Date | 1997-12-17 |
| Last Annual Report Date | 2016-04-30 |
| Registered Agent | CORPORATION SERVICE COMPANY |
| Registered Agent Address |
100 North Main Street Suite 2 Barre VT 05641 |
| Title | Name | Business Address |
|---|---|---|
| Director | Susan Wolburgh Jenah | 192 Carmichael Ave, Toronto, M5M 2 |
| Director | Robert W. Scully | 9 E 79th Street, New York, NY 10075 |
| Vice President | Robert A. Renner | 1735 K Street Nw, Washington, DC 20006 |
| Director | Randal K. Quarles | 79 South Main St, 3rd Floor, The Cynosure Group, Salt Lake City, UT 84111 |
| Director | Joseph R.v. Romano | 1560 Sherman Ave, Ste 1300, Romano Brothers & Co., Evanston, IL 60201 |
| Director | Joseph M. Mecane | 745 Seventh Ave, 3rd Fl Barclays, New York, NY 10019 |
| Director | Elisse B. Walter | 7529 Royal Dominion Drive, Bethesda, MD 20817 |
| Director | John J. Brennan | 439 Chandlee Dr, The Vanguard Group, Berwyn, PA 19312 |
| Director | William H. Heyman | 385 Washington Street, Saint Paul, MN 55102 |
| Director | Rochelle Lazarus | 636 11th Avenue, New York, NY 10036 |
| Director | John W. Schmidlin | 15 Springcroft Road, Far Hills, NJ 07931 |
| Director | James D. Weddle | 12555 Manchester Road, St. Louis, MO 63131 |
| Vice President | Gregory Ahern, Executive Vp | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Robert Colby, Chief Legal Officer | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Cameron Funkhouser, Executive Vp | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Steven A. Joachim, Executive Vp | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Steven J. Randich, Executive Vp & Cio | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Thomas M. Selman, Executive Vp | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Jonathan S. Sokobin, Senior Vp & Chief E | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Susan F. Axelrod, Executive Vp | 1735 K Street Nw, Washington, DC 20006 |
| Director | Charles I. Plosser | 9 Laurel Oak Road, Amelia Island, FL 32034 |
| Vice President | Bill Wollman, Evp | 1735 K Street Nw, Washington, DC 20006 |
| Secretary | Marcia E. Asquith, Svp & Corp. Secretary | 1735 K Street Nw, Washington, DC 20006 |
| President | Richard G. Ketchum, Chairman & Ceo | 1735 K Street Nw, Washington, DC 20006 |
| Treasurer | Todd T. Diganci, Executive Vp & Cfo/trea | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Richard W. Berry, Evp | 1735 K Street Nw, Washington, DC 20006 |
| Director | Mark W. Cresap | 259 Radnor-chester Rd, Suite 230, Cresap, Inc., Radnor, PA 19087 |
| Director | Leslie F. Seidman | 10 Beechwood Lane, Westport, CT 06880 |
| Director | Kathleen A. Murphy | 200 Seaport Blvd, V7a, Personal Investing, Boston, MA 02210 |
| Director | Joshua S. Levine | 315 W. 36th St, 10th Floor, New York, NY 10018 |
| Director | John W. Thiel | 2 World Financial Center, 42, Merril Lynch Wealth Management, New York, NY 10281 |
| Director | Brian J. Kovack Esq | 6451 North Federal Highway, Suite 1201 C/o Kovack Securities, Inc., Fort Lauderdale, FL 33308 |
| Director | Carol (john) Anthony Davidson | 4851 Bonita Bay Blvd., #1404, Bonita Springs, FL 34134 |
| Director | Robert Keenan Jr. | 1609 West Main Street, Russellville, AR 72801 |
| Director | Brigitte C. Madrian | 79 Jfk Street, Mailbox 114 Jfk School of Government, Cambridge, MA 02138 |
| Director | Luis M. Viceira | Baker Library 367, Harvard Business School, Boston, MA 02163 |
| Vice President | J. Bradley Bennett, Executive Vp | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Carlo V. Di Florio, Chief Risk Officer | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Thomas Gira, Executive Vp | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Tracy Johnson, Senior Vp | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Michael Rufino, Executive Vp | 1735 K Street Nw, Washington, DC 20006 |
| Vice President | Geraldine M. Walsh, Senior Vp | 1735 K Street Nw, Washington, DC 20006 |
| Director | Richard G. Ketchum, Chairman & Ceo | 1735 K Street Nw, Washington, DC 20006 |
| Entity Type | Entity Name | Entity Address |
|---|---|---|
| Colorado Business Entities | FINRA Regulation, Inc. | 1735 K St Nw, Washington, DC 20006 |
| Oregon Corporations, Companies and Business Names | FINRA REGULATION, INC. | 1735 K Street Nw, Washington, DC 20006 |
| Connecticut Business Registrations | FINRA REGULATION, INC. | 1735 K Street, Nw, Washington, DC 20006 |
| Massachusetts Corporations | FINRA REGULATION, INC. | 1735 K Street, Nw, Washington, DC 20006 |
| Oklahoma Business Registrations | FINRA REGULATION, INC. | 1735 K Street Nw, Washington, DC 20006 |
| Indiana Business Entities | FINRA REGULATION, INC. | One Market, Spear Street Tower, San Francisco, CA 94105 |
| Iowa Business Entities | FINRA REGULATION, INC. | 1735 K Street Nw, Washington, DC 20006 |
| Street Address | 1735 K STREET NW |
| City | WASHINGTON |
| State | DC |
| Zip Code | 20006 |
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| Nasd Regulation, Inc. | 1735 K Street Nw, Washington, DC 20006 | Ct Corporation System | 1996-12-11 |
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| Nasdaq Stock Market, Inc., The | 1735 K Street Nw, Washington, DC 20006 | Ct Corporation System | 1980-10-10 |
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| Find all businesses in zip 20006 | |||
| Title | Name | Business Address | Residence Address |
|---|---|---|---|
| Director | Susan Wolburgh Jenah | 192 Carmichael Ave, Toronto, M5M 2 | |
| Director | Robert W. Scully | 9 E 79th Street, New York, NY 10075 | |
| Vice President | Robert A. Renner | 1735 K Street Nw, Washington, DC 20006 | |
| Director | Randal K. Quarles | 79 South Main St, 3rd Floor, The Cynosure Group, Salt Lake City, UT 84111 | |
| Director | Joseph R.v. Romano | 1560 Sherman Ave, Ste 1300, Romano Brothers & Co., Evanston, IL 60201 | |
| Director | Joseph M. Mecane | 745 Seventh Ave, 3rd Fl Barclays, New York, NY 10019 | |
| Director | Elisse B. Walter | 7529 Royal Dominion Drive, Bethesda, MD 20817 | |
| Director | John J. Brennan | 439 Chandlee Dr, The Vanguard Group, Berwyn, PA 19312 | |
| Director | William H. Heyman | 385 Washington Street, Saint Paul, MN 55102 | |
| Director | Rochelle Lazarus | 636 11th Avenue, New York, NY 10036 | |
| Director | John W. Schmidlin | 15 Springcroft Road, Far Hills, NJ 07931 | |
| Director | James D. Weddle | 12555 Manchester Road, St. Louis, MO 63131 | |
| Vice President | Gregory Ahern, Executive Vp | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Robert Colby, Chief Legal Officer | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Cameron Funkhouser, Executive Vp | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Steven A. Joachim, Executive Vp | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Steven J. Randich, Executive Vp & Cio | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Thomas M. Selman, Executive Vp | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Jonathan S. Sokobin, Senior Vp & Chief E | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Susan F. Axelrod, Executive Vp | 1735 K Street Nw, Washington, DC 20006 | |
| Director | Charles I. Plosser | 9 Laurel Oak Road, Amelia Island, FL 32034 | |
| Vice President | Bill Wollman, Evp | 1735 K Street Nw, Washington, DC 20006 | |
| Secretary | Marcia E. Asquith, Svp & Corp. Secretary | 1735 K Street Nw, Washington, DC 20006 | |
| President | Richard G. Ketchum, Chairman & Ceo | 1735 K Street Nw, Washington, DC 20006 | |
| Treasurer | Todd T. Diganci, Executive Vp & Cfo/trea | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Richard W. Berry, Evp | 1735 K Street Nw, Washington, DC 20006 | |
| Director | Mark W. Cresap | 259 Radnor-chester Rd, Suite 230, Cresap, Inc., Radnor, PA 19087 | |
| Director | Leslie F. Seidman | 10 Beechwood Lane, Westport, CT 06880 | |
| Director | Kathleen A. Murphy | 200 Seaport Blvd, V7a, Personal Investing, Boston, MA 02210 | |
| Director | Joshua S. Levine | 315 W. 36th St, 10th Floor, New York, NY 10018 | |
| Director | John W. Thiel | 2 World Financial Center, 42, Merril Lynch Wealth Management, New York, NY 10281 | |
| Director | Brian J. Kovack Esq | 6451 North Federal Highway, Suite 1201 C/o Kovack Securities, Inc., Fort Lauderdale, FL 33308 | |
| Director | Carol (john) Anthony Davidson | 4851 Bonita Bay Blvd., #1404, Bonita Springs, FL 34134 | |
| Director | Robert Keenan Jr. | 1609 West Main Street, Russellville, AR 72801 | |
| Director | Brigitte C. Madrian | 79 Jfk Street, Mailbox 114 Jfk School of Government, Cambridge, MA 02138 | |
| Director | Luis M. Viceira | Baker Library 367, Harvard Business School, Boston, MA 02163 | |
| Vice President | J. Bradley Bennett, Executive Vp | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Carlo V. Di Florio, Chief Risk Officer | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Thomas Gira, Executive Vp | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Tracy Johnson, Senior Vp | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Michael Rufino, Executive Vp | 1735 K Street Nw, Washington, DC 20006 | |
| Vice President | Geraldine M. Walsh, Senior Vp | 1735 K Street Nw, Washington, DC 20006 | |
| Director | Richard G. Ketchum, Chairman & Ceo | 1735 K Street Nw, Washington, DC 20006 |
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| Data Provider | Vermont Secretary of the State (SOS) |
| Jurisdiction | State of Vermont |
This dataset includes 790 thousands business entities and corporations registered with Vermont Secretary of the State (SOS). Each entity is registered with business ID, business name, location, registered agent, principals, etc.