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01-43 NASD Informs Members Of Upcoming District Committee And District Nominating Committee Elections

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INFORMATIONAL

District Elections

SUGGESTED ROUTING

KEY TOPICS

Legal & Compliance
Operations
Registration
Senior Management

District Elections



Executive Summary

The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating Committees.

Information on District Committee and District Nominating Committee members serving through 2002, 2003, and 2004 is included in Attachment A. Information on District Election Procedures is included in Attachment B. A candidate profile sheet is included in Attachment C.

Nomination Process

Individuals from member firms of all sizes and segments of the industry are encouraged to submit names for consideration for membership on the 11 District Committees and District Nominating Committees. Members are requested to submit candidates' names to the appropriate District Nominating Committee Chairman or to the District Director by submitting a cover letter and the candidate profile sheet (Attachment C) and returning it by July 18, 2001.

Completed forms will be provided to all District Nominating Committee members for review. It is anticipated that the District Nominating Committees will certify their nominees to the District Committees on or about September 17, 2001.

Members are reminded of the importance to accurately maintain their Executive Representative name and e-mail address information, as well as their firm's main postal address. This will ensure that member mailings, such as election information, will be properly directed. Failure to keep this information accurate may jeopardize the member's ability to participate in District elections as well as other member votes. To update the Executive Representative name and e-mail address, firms should access their National Association of Securities Dealers, Inc. (NASD) Member Firm Contact Questionnaire (NMFCQ) located on the NASD Regulation Web Site (www.nasdr.com/disclaimer.asp). To update postal address information, the firm must file a Form BD Amendment via the Web CRD system. For assistance updating either of these systems, you may contact the CRD/PD Gateway Call Center at (301) 590-6500.

Questions/Further Information

Questions concerning this Special 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 barbara.sweeney@nasd.com.


ATTACHMENT A

District Committee And District Nominating Committee Members

District 1

Elisabeth P. Owens, District Director
525 Market Street, Suite 300, San Francisco, CA 94105      (415) 882-1200


District 1 Committee

Members to be elected to terms expiring January 2005: 3

Chair: John H. Chung

Committee Members
To Serve Until January 2002
John H. Chung Wells Fargo VanKasper San Francisco, CA
Steven D. Piper Epoch Securities, Inc. San Francisco, CA
To Serve Until January 2003
Sally G. Aelion Emmett A. Larkin Co., Inc. San Francisco, CA
David A. Baylor Thomas Weisel Partners LLC San Francisco, CA
Henry W. Carter   Seaside, CA
To Serve Until January 2004
S. Katherine Campbell Protected Investors of America San Francisco, CA
William C. Pack Salomon Smith Barney Saratoga, CA
Carol A. Van Bruggen Securities Service Network, Inc. Sacramento, CA

District 1 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: Nicholas C. Cochran

Committee Members
Steven R. Aaron J.P. Morgan, H & Q, Inc. San Francisco, CA
Stephen R. Adams Wells Fargo Van Kasper San Francisco, CA
Nicholas C. Cochran American Investors Company Dublin, CA
John C. Helmer Caldwell Securities, Inc. Danville, CA
William A. Svoboda Morgan Stanley Dean Witter San Jose, CA



District Committee And District Nominating Committee Members

District 2

Lani M. Woltmann, District Director
300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071      (213) 627-2122


District 2 Committee

Members to be elected to terms expiring January 2005: 4

Chair: Dean A. Holmes

Committee Members
To Serve Until January 2002
Margaret M. Black Morgan Stanley Dean Witter Beverly Hills, CA
Diane P. Blakeslee Blakeslee & Blakeslee, Inc. San Luis Obispo, CA
Jack R. Handy, Jr. Financial Network Investment Corporation Torrance, CA
Dean A. Holmes American General Financial Group Anaheim, CA
To Serve Until January 2003
Kellen M. Flanigan Wells Fargo Securities, Inc. Beverly Hills, CA
William H. Howard, Jr. Hagerty, Stewart & Associates Irvine, CA
James R. Kruger Dreyfus Brokerage Services, Inc. Los Angeles, CA
Stephen P. Maguire Maguire Investments, Inc. Santa Maria, CA
To Serve Until January 2004
James E. Biddle The Securities Center, Incorporated Chula Vista, CA
Chris M. Kanoff Jefferies and Company, Inc. Los Angeles, CA
Steven K. McGinnis National Planning Corporation Santa Monica, CA
Neal E. Nakagiri Associated Securities Corporation Los Angeles, CA

District 2 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: Jerry M. Gluck

Committee Members
Murray L. Finebaum Trading Edge, Inc. Santa Monica, CA
Jerry M. Gluck Jefferies and Company, Inc. Los Angeles, CA
James B. Guillou, Sr. Sutro & Co., Incorporated LaJolla, CA
Joan B. Seidel Morton Seidel & Company, Inc. Los Angeles, CA
Kaye M. Woltman Girard Securities, Inc. San Diego, CA



District Committee And District Nominating Committee Members

District 3

Frank J. Birgfeld, District Director
Republic Plaza Building, 370 17th Street, Suite 2900, Denver, CO 80202-5629      (303) 446-3100

James G. Dawson, District Director
Two Union Square, 601 Union, Suite 1616, Seattle, WA 98101-2327      (206) 624-0790


District 3 Committee

Members to be elected to terms expiring January 2005: 3

Chair: James E. Stark

Committee Members
To Serve Until January 2002
James Barnyak Salomon Smith Barney, Inc. Seattle, WA
David Griswold Frank Russell Securities, Inc. Tacoma, WA
James E. Stark Charles Schwab & Co., Inc. Phoenix, AZ
To Serve Until January 2003
Steven M. Fishbein Auerbach, Pollack & Richardson Inc. Denver, CO
Bruce Kramer Prudential Securities Incorporated Seattle, WA
To Serve Until January 2004
Richard B. Bequette CUE Financial Group, Inc. Phoeniz, AZ
George T. Diachok Multi-Financial Securities Corporation Denver, CO
John M. Rose Seattle-Northwest Securities Corporation Seattle, WA
Kathryn A. Supko Robert W. Baird & Co., Incorporated Boise, ID

District 3 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: Douglas Strand

Committee Members
Tim Ganahl Wells Fargo Investments LLC Seattle, WA
Thomas R. Hislop Peacock, Hislop, Staley & Given, Inc. Phoenix, AZ
John Morton Morton Clarke Fu & Metcalf, Inc. Seattle, WA
Thomas Petrie Petrie Parkman & Co., Inc. Denver, CO
Douglas Strand Strand, Atkinson, Williams & York, Inc. Portland, OR



District Committee And District Nominating Committee Members

District 4

Thomas D. Clough, District Director
120 W. 12th Street, Suite 900, Kansas City, MO 64105      (816) 421-5700


District 4 Committee

Members to be elected to terms expiring January 2005: 3

Chair: E. John Moloney

Committee Members
To Serve Until January 2002
Robert M. Chambers Robert W. Baird & Co. Des Moines, IA
John R. Lepley Princor Financial Services Corp. Des Moines, IA
William M. Lyons American Century Investment Services, Inc. Kansas City, MO
To Serve Until January 2003
E. John Moloney Moloney Securities Company St. Louis, MO
Rodger O. Riney Scottrade, Inc. St. Louis, MO
Jeffrey A. Schuh Marquette Financial Group, Inc. Minneapolis, MN
Gail Werner-Robertson GWR Investments, Inc. Omaha, NE
To Serve Until January 2004
Gene M. Diedrich A.G. Edwards & Sons, Inc. Overland Park, KS
Jonathan M. Harris Dain Rauscher, Inc. Minneapolis, MN
Timothy J. Lyle Trusted Securities Advisors Corp. Minneapolis, MN
Pamela Kay Reintz Ziermann Dougherty & Company Minneapolis, MN

District 4 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: Wayne H. Peterson

Committee Members
John D. Cleland Security Distributors, Inc. Topeka, KS
Antonio J. Cecin U.S. Bancorp Piper Jaffray, Inc. Minneapolis, MN
Cheryl Cook-Schneider Edward Jones St. Louis, MO
Wayne H. Peterson USALLIANZ Investor Services, LLC Minneapolis, MN
Brent M. Weisenborn Security Investment Company of Kansas City Kansas City, MO



District Committee And District Nominating Committee Members

District 5

Warren A. Butler, Jr., District Director
1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802      (504) 522-6527


District 5 Committee

Members to be elected to terms expiring January 2005: 3

Chair: Duncan F. Williams

Committee Members
To Serve Until January 2002
James D. Hudgins SouthTrust Securities, Inc. Birmingham, AL
LeRoy H. Paris, II Invest Linc Securities, Inc. Jackson, MS
Duncan F. Williams Duncan-Williams, Inc. Memphis, TN
To Serve Until January 2003
David A. Daugherty James Baker & Associates, A Limited Partnership Oklahoma City, OK
James M. Rogers J.J.B. Hilliard, W.L. Lyons, Inc. Louisville, KY
W. Lucas Simons UBS PaineWebber Inc. Nashville, TN
To Serve Until January 2004
David A. Knight Stephens Inc. Little Rock, AR
Lawrence J. Sisung Sisung Securities Corporation New Orleans, LA
David W. Wiley, III Wiley Bros., Aintree Capital, L.L.C. Nashville, TN

District 5 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: Jerry Roberts

Committee Members
Benjamin D. Capshaw, III Morgan Stanley Dean Witter New Orleans, LA
V. Hugo Marx, III Hugo Marx & Co., Inc. Birmingham, AL
Colin A. P. McNease UBS PaineWebber Inc. Jackson, MS
Jerry Roberts Sterne, Agee & Leach, Inc. Little Rock, AR
Dene R. Shipp SunTrust Equitable Securities, Inc. Nashville, TN



District Committee And District Nominating Committee Members

District 6

Bernerd E. Young, District Director
12801 N. Central Expressway, Suite 1050, Dallas, TX 75243      (972) 701-8554


District 6 Committee

Members to be elected to terms expiring January 2005: 3

Members to be elected to terms expiring January 2003: 1

Chair: Fredrick W. McGinnis

Committee Members
To Serve Until January 2002
Karen L. Banks Frost Brokerage Services, Inc. San Antonio, TX
Fredrick W. McGinnis UBS PaineWebber, Inc. Houston, TX
Joseph H. Storthz Transamerica Financial Advisors, Inc. Houston, TX
To Serve Until January 2003
G. Clyde Buck Sanders Morris Harris, Inc. Houston, TX
Bryan T. Forman First Avantus Securities, Inc. Austin, TX
To Serve Until January 2004
Christopher R. Allison M.E. Allison & Co., Inc. San Antonio, TX
David W. Turner First Union Securities, Inc. Ft. Worth, TX
R. Dwayne Whitehead Coastal Securities L.P. Houston, TX

District 6 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: William D. Connally

Committee Members
Jane E. Bates Stanford Group Company Houston, TX
William D. Connally Greenman Parker Connally Greenman, Inc. Ft. Worth, TX
Malcolm L. Cooper Dain Rauscher, Inc. Austin, TX
Daniel C. Dooley Maplewood Investment Advisors, Inc. Dallas, TX
William H. Lowell Lowell & Company, Inc. Lubbock, TX



District Committee And District Nominating Committee Members

District 7

Alan M. Wolper, District Director
One Securities Centre, Suite 500, 3490 Piedmont Road, N.E., Atlanta, GA 30305      (404) 239-6100


District 7 Committee

Members to be elected to terms expiring January 2005: 3

Chair: Edward R. Hipp, III

Committee Members
To Serve Until January 2002
James W. Hamilton, Jr. Morgan Keegan & Co. Atlanta, GA
Edward R. Hipp, III Centura Securities, Inc. Rocky Mount, NC
Roark A. Young Young, Stovall and Company Miami, FL
To Serve Until January 2003
Michael D. Hearn, Esq. Wachovia Securities, Inc. Charlotte, NC
Collie W. Lehn A.G. Edwards & Sons, Inc. Laurens, SC
Charles E. Scarlett, Esq. First Union Securities Financial Network, Inc. Boca Raton, FL
John W. Waechter William R. Hough & Co. St. Petersburg, FL
To Serve Until January 2004
Kenneth W. McGrath Popular Securities, Inc. Hato Rey, Puerto Rico
Sharon K. Milligan Morgan Stanley Dean Witter Tampa, FL
C. John O'Bryant, III Legg Mason Wood Walker, Inc. Raleigh, NC
Charles R. Roberts Branch, Cabell & Co., Inc. Richmond, VA

District 7 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: R. Charles Shufeldt

Committee Members
Robert M. Balentine Balentine & Company Atlanta, GA
Robert J. Brietz Bank of America Charlotte, NC
M. Anthony Greene Raymond James Financial Services, Inc. Atlanta, GA
R. Charles Shufeldt SunTrust Banks Atlanta, GA
Raymond W. Snow Merrill Lynch West Palm Beach, FL



District Committee And District Nominating Committee Members

District 8

Carlotta A. Romano, District Director
55 West Monroe Street, Suite 2700, Chicago, IL 60603      (312) 899-4400

William H. Jackson, Jr., District Director
Renaissance on Playhouse Square, 1350 Euclid Avenue, Suite 650, Cleveland, OH 44115      (216) 592-2950


District 8 Committee

Members to be elected to terms expiring January 2005: 5

Chair: Mary D. Esser

Committee Members
To Serve Until January 2002
R. Jack Conley VESTAX Securities Corporation Hudson, OH
Mary D. Esser Cressman Esser Securities, Inc. Naperville, IL
Glen Hackmann Robert W. Baird & Co., Inc. Milwaukee, WI
Robert A. Perrier Butler, Wick & Co., Inc. Cleveland, OH
Kathleen A. Wieland William Blair & Company, L.L.C. Chicago, IL
To Serve Until January 2003
Carol Podesta Foley Podesta & Company Chicago, IL
Renee M. Rombaut Sage, Rutty & Co., Inc. Rochester, NY
To Serve Until January 2004
George E. Bates Bates Securities, Inc. Rockford, IL
Gregory W. Goelzer Goelzer Investment Management, Inc. Indianapolis, IN
John A. Hawke Howe Barnes Investments, Inc. Chicago, IL
Jay B. Mackenzie Prudential Securities Incorporated Kalamazoo, MI

District 8 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: Leonard L. Anderson

Committee Members
Leonard L. Anderson Stifel, Nicolaus & Co., Inc. Grand Haven, MI
David L. Baker Baker and Company, Inc. Cleveland, OH
Thomas Harenburg Carl M. Hennig, Inc. Oshkosh, WI
David Slavik Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation Oak Brook, IL
G. Donald Steel Planned Investment Co., Inc. Indianapolis, IN



District Committee And District Nominating Committee Members

District 9

John P. Nocella, District Director
Eleven Penn Center, 1835 Market Street, Suite 1900, Philadelphia, PA 19103      (215) 665-1180

Gary K. Liebowitz, District Director
581 Main Street, 7th Floor, Woodbridge, NJ 07905      (732) 596-2000


District 9 Committee

Members to be elected to terms expiring January 2005: 3

Chair: A. Louis Denton

Committee Members
To Serve Until January 2002
A. Louis Denton Philadelphia Corporation for Investment Services Philadelphia, PA
Joseph S. Rizzello Pershing Trading Company, L.P. Jersey City, NJ
Gregory R. Zappala RRZ Public Markets, Inc. Cranberry Township, PA
To Serve Until January 2003
James D. Lamke Spear, Leeds & Kellogg Capital Markets, Inc. Jersey City, NJ
John P. Meegan Parker/Hunter Incorporated Pittsburgh, PA
Lance A. Reihl 1717 Capital Management Co. Newark, DE
Lenda P. Washington GRW Capital Corporation Washington, DC
To Serve Until January 2004
Jerry V. Duhovic Datek OnLine Brokerage Services LLC Jersey City, NJ
Kimberly Tillotson Fleming Hefren-Tillotson, Inc. Pittsburgh, PA
Howard B. Scherer Janney Montgomery Scott LLC Philadelphia, PA
Mark Thomas Whaley Gibraltar Securities Co., a division of Tucker, Anthony Incorporated Florham Park, NJ

District 9 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: James J. Malespina

Committee Members
Philip S. Cottone Rutherford, Brown & Catherwood, LLC Philadephia,PA
Victor M. Frye Calvert Distributors, Inc. Bethesda, MD
Allen S. Jacobson Gibraltar Securities Co., a division of Tucker, Anthony Incorporated Florham Park, NJ
James J. Malespina Herzog, Heine, Geduld, Inc. Jersey City, NJ
Jerome J. Murphy Janney Montgomery Scott, LLC Philadelphia, PA



District Committee And District Nominating Committee Members

District 10

Joseph M. McCarthy, Deputy District Director
One Liberty Plaza, 165 Broadway, New York, NY 10006      (212) 858-4265


District 10 Committee

Members to be elected to terms expiring January 2005: 5

Chair: Eugene A. Schlanger

Committee Members
To Serve Until January 2002
John Iachello ABN ARMO Securities LLC New York, NY
Philip V. Oppenheimer Oppenheimer & Close Inc. New York, NY
Gary Salamone BNY Clearing Services, LLC New York, NY
Eugene A. Schlanger Nomura Securities International, Inc. New York, NY
Tom M. Wirtshafter Nathan & Lewis Securities Inc. New York, NY
To Serve Until January 2003
Kevin J. Browne Banc of America Securities New York, NY
Judith R. MacDonald Rothschild, Inc. New York, NY
Stephen C. Strombelline Barclays Capital Inc. New York, NY
To Serve Until January 2004
Constantine Gus Economos Sandler O'Neill & Partners LP New York, NY
Ruth S. Goodstein PaineWebber Inc. New York, NY
Patrick Remmert Credit Suisse First Boston Corporation New York, NY
Charles V. Senatore Merrill Lynch Pierce Fenner & Smith Inc. New York, NY
Jeffrey R. Zuckerman Salomon Smith Barney Inc. New York, NY

District 10 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: Laurence H. Bertan

Committee Members
William P. Behrens Investec Ernst & Company New York, NY
Laurence H. Bertan Sanford C. Bernstein & Co., Inc. New York, NY
Frank F. DiGregorio Credit Suisse First Boston Corporation New York, NY
Vicki Z. Holleman Loeb Partners Corporation New York, NY
Stuart L. Sindell Datek Online Brokerage Services LLC New York, NY



District Committee And District Nominating Committee Members

District 11

Fred McDonald, District Director
260 Franklin Street, 16th Floor, Boston, MA 02110      (617) 261-0800


District 11 Committee

Members to be elected to terms expiring January 2005: 3

Chair: Stephen O. Buff

Committee Members
To Serve Until January 2002
Stephen O. Buff Fleet Securities, Inc. Boston, MA
Dennis R. Surprenant Cantella & Co., Inc. Boston, MA
To Serve Until January 2003
John D. Lane Mercer Partners, Inc. Southport, CT
Deborah G. Ullman American Skandia Marketing, Inc. Shelton, CT
Peter T. Wheeler Commonwealth Financial Network Waltham, MA
To Serve Until January 2004
Stephen Anikewich, Jr. UBS Warburg LLC Stamford, CT
John I. Fitzgerald American General Funds Distributors, Inc. Boston, MA
Robert V. Rodia People's Securities, Inc. Bridgeport, CT
Gregory D. Teese Equity Services, Inc. Montpelier, VT

District 11 Nominating Committee

Members to be elected to terms expiring January 2003: 5

Chair: Stephanie Brown

Committee Members
Harry H. Branning Advest, Inc. Hartford, CT
Stephanie Brown Linsco/Private Ledger, Corp. Boston, MA
Sheldon Fechtor Fechtor, Detwiler & Co., Inc. Boston, MA
Arthur F. Grant Cadaret, Grant & Co., Inc. Syracuse, NY
Frank V. Knox, Jr. Fidelity Distributors Corporation Boston, MA


ATTACHMENT B

District Election Procedures For District Committees And District Nominating Committees

Regular Election

1. Each NASD Regulation District shall maintain a District Nominating Committee in the manner specified in Article VIII of the By-Laws of NASD Regulation, Inc.
2. The Secretary of NASD Regulation, Inc. ("the Corporation") will notify in writing the Chairman of each District Committee and the Chairman of the District Nominating Committee of the upcoming vacancies on both the District Committee and the District Nominating Committee, and the procedures to follow to fill the vacancies. A copy of these letters will be provided to the District Directors.

The District Nominating Committee will be provided by Corporation staff with information considered relevant to the nominating process, including analytical data pertaining to the District membership.
3. The Secretary of NASD Regulation and the Membership Department will e-mail a reminder to all members of their responsibility and obligation to keep current and accurate information on their Executive Representatives and branch office addresses. The e-mail will contain a reference to the NASDR Web Site (www.nasdr.com) and detail the process for changing a firm's Executive Representative. This e-mail will note that failure to keep this information accurate may jeopardize the member's ability to participate in District elections as well as other member votes.
4. The Secretary of the Corporation on behalf of the District Committee Chairman will send a Notice to Members announcing the forthcoming elections to the Executive Representative and each branch office of all members eligible to vote in that District. The Notice to Members will contain: a) the number of vacancies for each District; and b) the remaining members of each District Committee. Members interested in serving on the District Committee or District Nominating Committee will be requested to complete the candidate profile sheet and submit it to the District Nominating Committee Chairman or the District Director. The completed candidate profile sheet will be provided to all Nominating Committee members for review.
5. The District Nominating Committee will endeavor to secure appropriate and fair representation on the District Committee and on the District Nominating Committee of the various sections of the District and all classes and types of NASD members engaged in the investment banking or securities business within the District.
6. The District Nominating Committee will review the background and qualifications of the proposed candidates and the District profile information provided by Corporation staff, and will determine its slate of candidates for the election.
7. The District Nominating Committee will certify to the District Committee each candidate nominated by the District Nominating Committee.
8. Within five (5) calendar days after this certification, a Notice to Members shall be sent to Executive Representatives, communicating the nominees for the vacancies on the District Committees.
9. If an officer, director, or employee of an NASD member is interested in being considered as an additional candidate, he/she must indicate his/her interest to the District Director within fourteen (14) calendar days of the date of the Notice to Members referenced in #8 above. The District Director shall make a written record of the time and date of such notification and the process will continue as described in #10 - #12.

If an additional candidate does not come forward within 14 days, the election of committee members is complete.
10. Additional candidate(s) may be nominated if a petition signed by the Executive Representative of at least 10 percent of the members eligible to vote in the District is filed with the District Nominating Committee within 30 calendar days from the mailing date of the Notice to Members referenced in #8, unless the Secretary of NASD Regulation grants additional time for good cause shown.
11. If no additional candidate(s) are nominated within the 30-calendar day period, then the candidates nominated by the District Nominating Committee shall be considered duly elected, and the District Committee shall certify the election to the Board of Directors of NASD Regulation.
12. If any additional candidate(s) are nominated, the procedures outlined in the Contested Election Procedures will apply.

Additional information pertaining to the District Election Procedures can be found in Article VIII of the By-Laws of NASD Regulation.


ATTACHMENT C

Date:______/______/_______

Candidate Profile Sheet

Current Employment
Name: CRD#:
Firm:
Title:
Primary areas of responsibility:
Address:
City/state/zip: No. of Registered People at Firm:
Phone: Fax: E-mail:
Prior Employment (List the most recent first. Feel free to include extra pages if necessary.)
Firm:
Title:
Primary areas of responsibility:
Address:
City/state/zip:
Dates employed: No. of Registered People at Firm:
Firm:
Title:
Primary areas of responsibility:
Address:
City/state/zip:
Dates employed: No. of Registered People at Firm:
General Areas of Expertise (please check all that apply) Product Expertise (please check all that apply)
  Compliance/Legal   Corporate Finance   Corporate Bonds   Direct Participation Programs
  Financial & Regulatory Reporting   Institutional Sales   Equity Securities   Government Securities
  Investment Advisory   Operations   Investment Company   Municipal Securities
  Retail Sales   Trading/Market Making   Options   Variable Contracts Securities
  Other: _________________________________   Other: _________________________________
Memberships/Positions Held in Trade or Business Organizations
 
Past NASD Experience and Dates of Service (please check all that apply)
Committee Member (Identify committee: ) Dates served:
Arbitrator Dates served: Mediator Dates served:
Other: Dates served:
Educational Background
School: Degree:
School: Degree:


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