FINRA Announces Results of Board of Governors Elections

Member Firms Reelect Scott Curtis as Large Firm Governor and Elect Jay Gettenberg as Small Firm Governor

WASHINGTON-FINRA announced today the results of its Board of Governors elections during its annual meeting of member firms on Monday.

The elected Governors include:

• Large Firm Governor - Scott Curtis, Chief Operating Officer, Raymond James Financial
• Small Firm Governor - Jay Gettenberg, CEO and FinOp, ACI Capital Markets, LLC
  

Curtis has been the Chief Operating Officer of Raymond James Financial since 2024, where he leads the firm's institutional investment management and advisory solutions segments, corporate marketing, and strategic initiatives. Prior to that, he served as President of Raymond James' Private Client Group since 2018. He has served the firm in senior leadership roles since 2003. Curtis earned his M.B.A. from the Ross School of Business at the University of Michigan and received a B.A. in Economics and English from Denison University. He has served as FINRA Board Chair since February 2025 and was reelected in that role at last month's Board meeting.

Gettenberg is Managing Partner and CEO of ACI, a provider of Financial and Operations Principals (FinOp) licensing and regulatory financial reporting for broker-dealers. He also serves as CEO and FinOp of ACI Capital Markets, ACI's affiliated FINRA member broker-dealer. In his current role, he supervises a team of 38 full-time professionals, including more than 20 licensed FinOps. He previously served on FINRA's District 10 Committee and the FINRA Small Firm Advisory Committee. He is filling the Small Firm Governor seat vacated by Wendy Lanton, Chief Operations/Compliance Officer at Herold & Lantern Investments, Inc.

"I am pleased to welcome Jay Gettenberg to the FINRA Board. Robust representation from small firms is essential in carrying out FINRA's mission as a self-regulatory organization, and Jay brings invaluable firsthand knowledge of the challenges and opportunities faced by this vital segment of our membership," said FINRA Board Chair Scott Curtis. "I also extend a heartfelt thank you to Wendy Lanton for her thoughtful insights and leadership during her tenure on the Board."

"As a small-firm leader with deep expertise in financial operations and regulatory reporting, Jay Gettenberg brings a valuable perspective to FINRA's Board, and I congratulate him on this election," said FINRA CEO Robert Cook. "I also want to congratulate Scott Curtis on his reelection and thank him for his continued leadership as Chair. Together with the full Board, I am confident we will continue making meaningful progress through FINRA Forward on enhancing our capabilities to protect investors and safeguard market integrity."

FINRA Governors are appointed or elected to three-year terms. More information regarding the Board's operations, including the membership and responsibilities of its committees, is available at https://www.finra.org/governance.

About FINRA

FINRA is a not-for-profit organization dedicated to investor protection and market integrity. FINRA regulates one critical part of the securities industry-member brokerage firms doing business in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit https://www.finra.org.