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Contact Information

Division of Examinations Contact Information

April 19, 2017

Division of Examinations

National Leadership

100 F Street, NE
Washington, DC 20549
(202) 551-6200

Richard Best Director of the Division of Examinations
Keith Cassidy Deputy Director
Natasha Vij Greiner Deputy Director
Jennifer McCarthy Chief Counsel
Alecia Davis Managing Executive
Hane Kim Chief Risk and Strategy Officer
Marshall Gandy Co-National Associate Director of the Investment Adviser/Investment Company Examination Program
Natasha Vij Greiner Co-National Associate Director of the Investment Adviser/Investment Company Examination Program
Michael Rufino National Associate Director of the Broker Dealer and Exchange Examination Program
Kevin Goodman National Associate Director of the FINRA and Securities Industry Oversight Examination Program
Allison Fakhoury National Associate Director of the Clearance and Settlement Examination Program
Keith Cassidy National Associate Director of the Technology Controls Program
Adam Storch Associate Director of the Event and Emerging Risk Examination Team

Regional Office Leadership

Atlanta Regional Office (ARO)

950 East Paces Ferry, N.E., Suite 900
Atlanta, GA 30326
404-842-7600

Nekia Jones Regional Director
Kenneth French Associate Regional Director (Examinations)

Boston Regional Office (BRO)

33 Arch Street, 23rd Floor
Boston, MA 02110
617-573-8900

Sylvestre Fontes Regional Director
Kevin Kelcourse Associate Regional Director (Examinations)

Chicago Regional Office (CHRO)

175 W. Jackson Boulevard, Suite 900
Chicago, IL 60604
312-353-7390

Vanessa Horton/Kathryn Pyszka Acting Regional Director
Vanessa Horton Associate Regional Director, Investment Adviser/Investment Company Examination Program
Louis Gracia Associate Regional Director, Investment Adviser/Investment Company Examination Program
Tina Diamantopoulos Associate Regional Director, Broker Dealer and Exchange Examination Program

Denver Regional Office (DRO)

1961 Stout Street, Suite 1700
Denver, CO 80294
303-844-1000

Jason Burt Regional Director
Thomas Piccone Associate Regional Director (Examinations)

Fort Worth Regional Office (FWRO)

801 Cherry Street, Suite 1900, Unit 18
Fort Worth, TX 76102
817-978-3821

Eric Werner Regional Director
Marshall Gandy Associate Regional Director (Examinations)

Los Angeles Regional Office (LARO)

444 South Flower Street, Suite 900
Los Angeles, CA 90071
323-965-3998

Kate Zoladz Regional Director
J. Cindy Eson Associate Regional Director (Examinations)

Miami Regional Office (MIRO)

801 Brickell Ave., Suite 1800
Miami, FL 33131
305-982-6300

Eric Bustillo Regional Director
John Mattimore Associate Regional Director (Examinations)

New York Regional Office (NYRO)

200 Vesey Street, Suite 400
New York, NY 10281
212-336-1100

Antonia Apps Regional Director
Thomas Butler Associate Regional Director, Investment Adviser/Investment Company Examination Program
Maurya Keating Associate Regional Director, Investment Adviser/Investment Company Examination Program
Lourdes Caballes Associate Regional Director, Broker Dealer and Exchange Examination Program
Michael Rufino Associate Regional Director, Broker Dealer and Exchange Examination Program

Philadelphia Regional Office (PLRO)

1617 JFK Boulevard, Suite 520
Philadelphia, PA 19103
215-597-3100

Nicholas Grippo Regional Director
Joy Thompson Associate Regional Director (Examinations)

Salt Lake Regional Office (SLRO)

351 S. West Temple Street, Suite 6.100
Salt Lake City, UT 84101
801-524-5796

Tracy Combs Regional Director

San Francisco Regional Office (SFRO)

44 Montgomery Street, Suite 2800
San Francisco, CA 94104
415-705-2500

Monique Winkler Regional Director
Elena Ro Associate Regional Director (Examinations)

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