nasdr.com
NASD District Offices
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District 1
525 Market Street, Suite 300
San Francisco, CA 94105-2711
(415) 882-1200
Fax: (415) 546-6991
Elisabeth P. Owens, Director
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
District 2
300 South Grand Avenue, Suite 1600
Los Angeles, CA 90071
(213) 627-2122
Fax: (213) 617-3299
Lani M. Sen Woltmann, Director
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
District 3
Denver
Republic Office Building
370 17th Street, Suite 2900
Denver, CO 80202-5629
(303) 446-3100
Fax: (303) 620-9450
Frank Birgfeld, V.P., Director
Arizona, Colorado, New Mexico, Utah, and Wyoming
District 3
Seattle
Two Union Square
601 Union Street, Suite 1616
Seattle, WA 98101-2327
(206) 624-0790
Fax: (206) 623-2518
James G. Dawson, Associate Director
Alaska, Idaho, Montana, Oregon, and Washington
District 4
12 Wyandotte Plaza
120 West 12th Street, Suite 900
Kansas City, MO 64105
(816) 421-5700
Fax: (816) 421-5029
Jack Rosenfield, V.P., Director
Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, and South Dakota
District 5
1100 Poydras Street
Suite 850, Energy Centre
New Orleans, LA 70163
(504) 522-6527
Fax: (504) 522-4077
Warren A. Butler, Jr., V.P., Director
Alabama, Arkansas, Kentucky, Louisiana, Mississippi, Oklahoma, and Tennessee
District 6
12801 North Central Expressway, Suite 1050
Dallas, TX 75243
(972) 701-8554
Fax: (972) 716-7646
Thomas M. McNatt, Director
Texas
District 7
One Securities Centre, Suite 500
3490 Piedmont Road, NE
Atlanta, GA 30305
(404) 239-6100
Fax: (404) 237-9290
Marilyn B. Davis, Director
Florida, Georgia, North Carolina, South Carolina, Puerto Rico, the Canal Zone, and the Virgin Islands
District 8
Chicago
10 S. LaSalle St., 20th Floor
Chicago, IL 60603-1002
(312) 899-4400
Fax: (312) 236-3025
Carlotta A. Romano, Director
Illinois, Indiana, Michigan, and Wisconsin
District 8
Cleveland
Renaissance on Playhouse Sq.
1350 Euclid Ave., Suite 650
Cleveland, OH 44115
(216) 694-4545
Fax: (216) 694-3048
William H. Jackson, Jr., Director
Ohio and part of upstate New York (the counties of Monroe, Livingston, and Steuben, and the remainder of the state west of such counties)
District 9
Philadelphia
11 Penn Center
1835 Market Street, 19th Floor
Philadelphia, PA 19103
(215) 665-1180
Fax: (215) 496-0434
John P. Nocella, Sr. V.P., Director
Delaware, Pennsylvania, West Virginia, District of Columbia, Maryland, Virginia, and southern New Jersey (the counties of Atlantic, Burlington, Camden, Cape May, Cumberland, Gloucester, Mercer, Ocean, and Salem)
District 10
33 Whitehall Street
New York, NY 10004-2193
(212) 858-4000
Fax: (212) 858-4189
Martin Kuperberg, Sr. V.P., Director
The five boroughs of New York City and the adjacent counties in New York (the counties of Nassau, Orange, Putnam, Rockland, Suffolk, Westchester) and northern New Jersey (the state of New Jersey, except for the counties of Atlantic, Burlington, Camden, Cape May, Cumberland, Gloucester, Mercer, Ocean, and Salem)
District 11
260 Franklin St., 16th Floor
Boston, MA 02110
(617) 261-0800
Fax: (617) 951-2337
Willis Riccio, V.P., Director
Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont, and New York (except for the counties of Nassau, Orange, Putnam, Rockland, Suffolk, and Westchester; the counties of Monroe, Livingston, and Steuben; the remainder of the state west of such counties; and the five boroughs of New York City)
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Subject: Letter to sent Brokers, NASD, and RMIL
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