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03-52 Nominees for District Committee and District Nominating Committee

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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 announce thenominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members (see Attachment A) have been nominated for three-year terms1 on the District Committees and for one-year terms on the District Nominating Committees starting in January 2004. These nominees will be considered duly elected on October 1, 2003, unless an election is contested in accordance with the procedures summarized below.

We appreciate the interest shown by many of you in participating in the District Committees and thank everyone for their continuing support of the self-regulatory process. We look forward to your participation in the matters of the Districts during the coming year, as well as hope that those who were not selected this year may wish to revisit this process next year.

Contested Election Procedures

If an officer, director, or employee of a NASD member is interested in being considered as an additional candidate, he/she must indicate his/her interest to the District Director or the Corporate Secretary, Barbara Z. Sweeney, by October 1, 2003. If an additional candidate(s) comes forward by that date, the candidate has until October 31, 2003, to submit a petition to the District Nominating Committee with signatures from at least 10 percent of Executive Representatives of members eligible to vote in the District.

If no additional candidates submit petitions by October 31, 2003, then the candidates nominated by the District Nominating Committee shall be considered elected as of October 1, 2003, and the District Committee shall certify the election to the Board of Directors of NASD Regulation.

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

Questions/Further Information

Questions concerning this Special Notice may be directed to the District Director noted in Attachment A 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.

Endnote

1 Some nominees are filling existing vacancies and therefore may serve less than a three-year term, as indicated on Attachment A.

ATTACHMENT A

District Committee and District Nominating Committee Nominees

District 1

Elisabeth P. Owens, District Director

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

2003 District Nominating Committee Chair

Glenn M. Colacurci Salomon Smith Barney San Francisco, CA

District 1 Nominees

William A. Evans Stone & Youngberg LLC San Francisco, CA
Mansoor Kisat Citigroup Global Markets, Inc. Santa Rosa, CA
Arthur E. Raitano Hoefer & Arnett, Incorporated San Francisco, CA

District 1 Nominating Committee Nominees

Stephen R. Adams Wells Fargo Investments, LLC San Francisco, CA
Sally G. Aelion Emmett A. Larkin Company, Inc. San Francisco, CA
Robert S. Basso Correspondent Services Corporation San Francisco, CA
James D. Klein UBS PaineWebber, Inc. San Francisco, CA
L. Robert McKulla Prudential Division of Wachovia Securities, LLC Walnut Creek, CA

District Committee And District Nominating Committee Nominees

District 2

Lani M. Sen Woltmann, District Director

300 South Grand Avenue, Suite 1600, Los Angeles, CA 90071

(213) 627-2122

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

2003 District Nominating Committee Chair

Robert L. Winston American Funds Distributors, Inc. Los Angeles, CA

District 2 Nominees

Stephen B. Benton Financial Network Investment Corp. Torrance, CA
James M. S. Dillahunty Fixed Income Securities, LLC San Diego, CA
John D. Lewis JDL Securities Corp. Newport Beach, CA

District 2 Nominating Committee Nominees

James E. Biddle The Securities Center Incorporated Chula Vista, CA
Margaret M. Black Morgan Stanley Dean Witter Los Angeles, CA
Diane P. Blakeslee Blakeslee & Blakeslee, Inc. San Luis Obispo, CA
Miles Z. Gordon   Indian Wells, CA
Steven K. McGinnis Keystone Capital Corporation San Diego, CA

District Committee And District Nominating Committee Nominees

District 3

Joseph M. McCarthy, District Director

370 17th Street, Suite 2900, Denver, CO 80202-5629

(303) 446-3100

Arizona, Colorado, New Mexico, Utah, and Wyoming

James G. Dawson, District Director

Two Union Square, 601 Union Street, Suite 1616, Seattle, WA 98101-2327

(206) 624-0790

Alaska, Idaho, Montana, Oregon, and Washington

2003 District Nominating Committee Chair

Martin O. Nelson Martin Nelson & Co., Inc. Seattle, WA

District 3 Nominees

Curtis J. Hammond Morgan Stanley Dean Witter, Inc. Bellevue, WA
J. Keith Kessel AFS Brokerage, Inc. Greenwood Village, CO
Arlene M. Wilson D.A. Davidson & Co. Great Falls, MT

District 3 Nominating Committee Nominees

Elyssa S. Baltazar Morgan Stanley Dean Witter, Inc. Denver, CO
L. Hoyt DeMers Wells Fargo Investments, LLC Seattle, WA
Steven Larson Richards Merrill & Peterson Inc. Spokane, WA
Anthony B. Petrelli Neidiger, Tucker, Bruner, Inc. Denver, CO
Kathryn A. Supko Northwestern Mutual Investment Services, LLC Boise, ID

District Committee And District Nominating Committee Nominees

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

2003 District Nominating Committee Chair

Norman Frager Flagstone Securities, LLC St. Louis, MO

District 4 Nominees

Michael D. Burns
(2-Year Term)
USAllianz Securities, Inc. Minneapolis, MN
Joseph D. Fleming U.S. Bancorp Piper Jaffray, Inc. Minneapolis, MN
Richard M. Hurwitz Benefit Finance Securities, LLC St. Louis, MO
Mark T. Lasswell Wells Fargo Brokerage Services, LLC Minneapolis, MN
Kevin P. Maas
(2-Year Term)
PrimeVest Financial Services, Inc. St. Cloud, MN

District 4 Nominating Committee Nominees

Gene M. Diederich A.G. Edwards & Sons, Inc. Overland Park, KS
Timothy J. Lyle Trusted Securities Advisors Corp. Minneapolis, MN
E. John Moloney Moloney Securities Co., Inc. St. Louis, MO
L.C. (Jack) Petersen Kirkpatrick, Pettis, Smith, Polian, Inc. Omaha, NE
Pamela R. Ziermann Dougherty & Company, LLC Minneapolis, MN

District Committee And District Nominating Committee Nominees

District 5

Warren A. Butler, Jr., District Director

1100 Poydras Street, Energy Centre, Suite 850, New Orleans, LA 70163-0802

(504) 522-6527

Alabama, Arkansas, Louisiana, Mississippi, Oklahoma, and Tennessee

2003 District Nominating Committee Chair

Duncan F. Williams Duncan-Williams, Inc. Memphis, TN

District 5 Nominees

Jennifer Carty Scola Carty & Company, Inc. Memphis, TN
R. Patrick Shepherd Avondale Partners, L.L.C. Nashville, TN
Donald R. Winton Crews & Associates, Inc. Little Rock, AR

District 5 Nominating Committee Nominees

David A. Daugherty James Baker & Associates Oklahoma City, OK
James S. Holbrook, Jr. Sterne, Agee & Leach, Inc. Birmingham, AL
E. Douglas Johnson, Jr. Johnson Rice & Company L.L.C. New Orleans, LA
Tom R. Steele Equitable Advisors, Inc. Nashville, TN
Duncan F. Williams Duncan-Williams, Inc. Memphis, TN

District Committee And District Nominating Committee Nominees

District 6

Virginia F. M. Jans, District Director

12801 N. Central Expressway, Suite 1050, Dallas, TX 75243

(972) 701-8554

Texas

2003 District Nominating Committee Chair

Fredrick W. McGinnis UBS PaineWebber, Inc. Houston, TX

District 6 Nominees

Karen Banks Frost Brokerage Services, Inc. San Antonio, TX
Cynthia E. Besek Maplewood Investment Advisors, Inc. Dallas, TX
Darryl W. Traweek RBC Dain Rauscher Inc. Houston, TX

District 6 Nominating Committee Nominees

Christopher R. Allison M.E. Allison & Co., Inc. San Antonio, TX
C. Ronald Baker The (Wilson) Williams Financial Group Lubbock, TX
William B. Madden Madden Securities Corporation Dallas, TX
Edward M. Milkie Milkie/Ferguson Investments, Inc. Dallas, TX
David W. Turner Wachovia Securities, Inc. Fort Worth, TX

District Committee And District Nominating Committee Nominees

District 7

Alan M. Wolper, 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

2003 District Nominating Committee Chair

Edward R. Hipp, III Legg Mason Wood Walker, Inc. Norfolk, VA

District 7 Nominees

Susan J. Hechtlinger Banc of America Investment Services, Inc. Charlotte, NC
Landrum H. Henderson, Jr. Legg Mason Wood Walker, Inc. Charlotte, NC
Alan L. Maxwell, Jr. Wachovia Capital Markets, LLC Charlotte, NC
Mr. Roark A. Young
(One-Year Term)
Young, Stovall and Company Miami, FL

District 7 Nominating Committee Nominees

Michael D. Hearn, Esq. Banc of America Investment Services, Inc. Charlotte, NC
Kenneth W. McGrath Popular Securities, Inc. Hato Rey, PR
C. John O'Bryant, III PowellJohnson, Private Asset Management Raleigh, NC
Glenn R. Oxner Scott & Stringfellow, Inc. Greenville, SC
John W. Waechter William R. Hough & Co. St. Petersburg, FL

District Committee And District Nominating Committee Nominees

District 8

Carlotta A. Romano, District Director

55 West Monroe Street, Suite 2700, Chicago, IL 60603-5051

(312) 899-4400

Illinois, Indiana, Kentucky, Michigan, and Wisconsin

William H. Jackson, Jr., District Director

Renaissance on Playhouse Square, 1350 Euclid Avenue, Suite 650, Cleveland, OH 44115

(216) 592-2950

Ohio

2003 District Nominating Committee Chair

Wallen L. Crane Salomon Smith Barney Toledo, OH

District 8 Nominees

Michael E. Bosway City Securities Corporation Indianapolis, IN
Robert J. Michelotti Ferris, Baker Watts Incorporated Auburn Hills, MI
Lora Rosenbaum Northwestern Mutual Investment Services Milwaukee, WI

District 8 Nominating Committee Nominees

William C. Alsover, Jr. Centennial Securities Company, Inc. Grand Rapids, MI
Mary D. Esser Cressman Esser Securities, Inc. Naperville, IL
Gregory Goelzer Goelzer Investment Management Indianapolis, IN
Rodney Trautvetter Harris Investor Services, LLC Chicago, IL
Bruce J. Young Mesirow Financial, Inc. Chicago, IL

District Committee And District Nominating Committee Nominees

District 9

Gary K. Liebowitz, District Director

581 Main Street, 7th Floor, Woodbridge, NJ 07905

(732) 596-2000

New Jersey and New York (except for the counties of Nassau, Orange, Putnam, Rockland, Suffolk, Westchester, and the five boroughs of New York City)

John P. Nocella, District Director

Eleven Penn Center, 1835 Market Street, Suite 1900, Philadelphia, PA 19103

(215) 665-1180

Delaware, the District of Columbia, Maryland, Pennsylvania, Virginia and West Virginia

2003 District Nominating Committee Chair

A. Louis Denton Philadelphia Corporation for Investment Services Philadelphia, PA

District 9 Nominees

John Bluher Knight Securities, L.P. Jersey City, NJ
Barry M. Cash UBS Financial Services, Inc. Fishkill, NY
Peter P. Jenkins Credit Suisse First Boston LLC Baltimore, MD

District 9 Nominating Committee Nominees

J. Lee Keiger, III Davenport & Company, LLC Richmond, VA
John P. Meegan Parker/Hunter Incorporated Pittsburgh, PA
Lance A. Reihl 1717 Capital Management Company Berwyn, PA
Howard B. Scherer Janney Montgomery Scott LLC Philadelphia, PA
Lenda P. Washington GRW Capital Corporation Washington, DC

District Committee And District Nominating Committee Nominees

District 10

Robert B. Kaplan, Acting District Director

One Liberty Plaza, New York, NY 10006

(212) 858-4000

New York (the counties of Wassau, Orange, Putnam, Rockland, Suffolk and Westchester, and the five boroughs of New York City)

2003 District Nominating Committee Chair

Tom M. Wirtshafter AXA Advisors, LLC New York, NY

District 10 Nominees

Richard Berenger MetLife Securities, Inc. New York, NY
Lon T. Dolber American Portfolios Financial Services Holbrook, NY
George T. Mimura Nomura Securities International, Inc. New York, NY
Howard R. Plotkin Lehman Brothers Inc. New York, NY

District 10 Nominating Committee Nominees

William Behrens Northeast Securities, Inc. New York, NY
Ruth S. Goodstein UBS Financial Services, Inc. New York, NY
Judith R. MacDonald Rothschild, Inc. New York, NY
Charles V. Senatore Fidelity Brokerage Services, LLC New York, NY
Stephen C. Strombelline BNP Paribas Securities Corp. New York, NY

District Committee And District Nominating Committee Nominees

District 11

Frederick F. McDonald, District Director

260 Franklin Street, 16th Floor, Boston, MA 02110

(617) 261-0800

Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island and Vermont

2003 District Nominating Committee Chair

Stephen O. Buff Fleet Securities, Inc. Boston, MA

District 11 Nominees

David K. Booth Jefferson Pilot Securities Corp. Concord, NH
Thomas F. Hollenbeck J.P. Morgan Invest, LLC Boston, MA
Curtis L. Snyder, Jr. American Technology Research, Inc. Old Greenwich, CT

District 11 Nominating Committee Nominees

Richard J. DeAgazio Boston Capital Services, Inc. Boston, MA
John I. Fitzgerald Leerink Swann & Company Boston, MA
John D. Lane Lane Capital Markets LLC Fairfield, CT
Robert V. Rodia People's Securities, Inc. Bridgeport, CT
Gregory D. Teese Equity Services, Inc. Montpelier, VT

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