Regulator Contact Information Form NF - Unit Investment Trusts


Alabama

Sonya Daniels
ASA III

334-242-2392

Sonya.daniels@asc.alabama.gov

Alaska

Tom Stevens 
Financial Registration Examiner
(907) 465-5448    

Arizona

Arkansas

Ann McDougal
Deputy Securities Commissioner
501-324-8685

California

Theresa Leets
Assistant Chief Counsel
213-576-7590

Colorado

Derrick O'Neal

Securities Examiner

303-894-2320
Derrick.o'neal@state.co.us

Connecticut

Delaware

Faith Umoren Udo
302-577-5031

District of Columbia

J. Mike McManus
Director, Corporation Finance Division
(202)-442-7826
James.McManus@dc.gov     

Florida

Georgia

Noula Zaharis
Director, Securities and Charities Division
404-654-6034

Hawaii

Ty Nohara
Commissioner of Securities
808-586-2722
tnohara@dcca.hawaii.gov

Idaho

Mary Harper

Program Information Coordinator
208-332-8075
mary.harper@finance.idaho.gov


Illinois

Mary Hannig
Securities Examiner
217-785-4932
mhannig@ilsos.net

Indiana

Daniel Spungen
Chief Deputy Securities Commissioner
317-234-2741
dspungen@sos.in.gov 

Iowa

Dennis Britson
Assistant Bureau Chief
515-281-8814
dennis.britson@iid.iowa.gov 

Kansas

Diane Haynes
Public Service Administrator

785-296-3308

diane.haynes@ks.gov


Kentucky

Leslee Cope
Program Coordinator
502-782-9056
lesleec.cope@ky.gov

Louisiana

Maine

Maryland

Massachusetts

Michigan

Megan Swartout
Departmental Technician

517-241-6361
Swartoutm@michigan.gov 

Minnesota

Robin Brown
State Program Administrator Director
651-539-1638
Robin.Brown@state.mn.us  

Mississippi

Chelsea Stewart
Registrations Specialist

601-359-6369

chelsea.stewart@sos.ms.gov 

Missouri

Chris Marlow
Director of Investor Protection and Education
573-751-1862
Christopher.marlow@sos.mo.gov   

Montana

Michelle Huftel
Licensing Examiner
406-444-2990
mhuftel@mt.gov

Nebraska

Michael Cameron
Legal Counsel
402-471-2171

mike.cameron@nebraska.gov 


Nevada

New Hampshire

Linda Elkins
Securities Examiner
603-271-1463
linda.elkins@sos.nh.gov


New Jersey

Susan B. Largman
Director - Registration
973-504-3609
susan.largman@lps.state.nj.us

New Mexico

Nona Lane
Compliance Manager
505-670-6439
Nona.lane@state.nm.us

New York

Kenneth Haim
Registration Director
212-416-8206
kenneth.Haim@ag.ny.gov 

North Carolina

North Dakota

Bailey Doll
Administrative Officer
701-328-2987

Ohio

Ryan Rodgers
Program Administrator
614-466-2494
Ryan.Rodgers@com.state.oh.us

Oklahoma

Oregon

Sarah Dickey
Securities Registration & Licensing Specialist
503-947-7472
Sarah.k.dickey@oregon.gov  

Pennsylvania

Jennifer Shunk
Clerk Typist III
717-787-43193
jeshunk@pa.gov

Puerto Rico

Mariel Martinez
Supervisor
787-723-3131 EXT. 2309
marielm@ocif.pr.gov

Rhode Island

Donald DeFedele
Chief Securities Examiner
401-462-9586
Donald.Defedele@dbr.ri.gov 

South Carolina

Pamela Kirkland
Director of Registration, Securities Division
803-734-9916
pkirkland@scag.gov

South Dakota

Melita Hauge

Registration Supervisor
605-773-3563
Melita.Hauge@stage.sd.us

Tennessee

Elizabeth H. Bowling
Director of Registration
615-770-0088
Elizabeth.bowling@tn.gov 

Texas

Emily Diaz
Assistant Director of Registration
512-305-8343
ediaz@ssb.texas.gov

U.S. Virgin Islands

Natoya Cole
Registration Securities Examiner
340-774-7166
Natoya.cole@lgo.vi.gov

Utah

Nadene Adams
Corporate Finance Administrative Assistant
801-530-6613
nnadams@utah.gov 

Vermont

William R. Carrigan
Deputy Commissioner
802-828-4858 
William.carrigan@vermont.gov


Virginia

Tim O'Brien
Chief Examiner
804-371-9415
tim.obrien@scc.virginia.gov

Washington

West Virginia

Dan Reed
Senior Registration Examiner / Internal Auditor
304-558-2261 EXT. 3127
DANIEL.REED@WVSAO.GOV

Wisconsin

Theresa Holterman
Program & Policy Analyst

608-266-8559

theresa.holterman@dfi.wisconsin.gov

Wyoming