William St. Louis

Senior Vice President and Regional Director, FINRA

William St. Louis is the Regional Director for FINRA’s Northeast region and has responsibility for the sales practice examination and surveillance programs in FINRA’s New York, Boston, Philadelphia, and New Jersey District offices. He also oversees FINRA’s Membership Application Program (MAP).  Prior to assuming the Regional Director role in March 2019, he was the District Director of FINRA’s New York office.  Before joining FINRA’s examination program, Bill held senior roles in FINRA’s Enforcement Department including serving as the Regional Chief Counsel for FINRA’s North Region.  Bill earned a B.A. from Baruch College and a law degree from New York University School of Law. Immediately after law school Bill clerked for a New York state trial judge, and prior to law school he worked for several years in the Compliance Department of a NY-based broker-dealer.