Chris Flint Elected to the FINRA Board of Governors!


I’m honored by the support of FINRA’s voting members, grateful to both FSI and BISA for their respective endorsements and I’m excited to represent the views of all FINRA member firms, while advocating for the key issues that I emphasized throughout my candidacy.

My Name is Chris Flint

I’m the President and CEO of ProEquities, a FINRA Large Firm member and I’ve recently been elected to the FINRA Board of Governors’ Large Firm seat. I look forward to representing firms like ours.

I believe the best way to serve and protect retail investors – and to secure a strong future for our industry – is to ensure that firms focused on the delivery of retail financial advice are sufficiently represented on FINRA’s Board.

I encourage you to get to know me and my professional background. More importantly, you’ll also find information there on the beliefs I share with my fellow FINRA Large Firm members, and my positions on the critical issues facing our industry.

About Me

Chris Flint has over 23 years in the financial services industry where he has served as a sales, technology, compliance, operations, and distribution leader. Currently, Chris is President and CEO of ProEquities, Inc. and Senior Vice President, Distribution Companies for Protective Life Insurance Company. Prior to joining Protective Life and ProEquities in 2015, he served as the President of Lincoln Financial Securities and Senior Vice President at Lincoln Financial Group. Before his tenure there, Chris was a Senior Vice President at Securities America. He is also a member of the Financial Services Institute (FSI) Board of Directors and previously served on FSI’s Marketing, Growth & Development Council.

Chris obtained his M.B.A. and M.S. from Creighton University and his B.S. from The University of Alabama at Birmingham where he was a scholarship athlete. He is a former member of the adjunct faculty at the University of Nebraska at Omaha and attended the University of Pennsylvania Wharton School of Business Executive Leadership Program. He holds his Series 4, 7, 24, 53, 63, and 66 as well as his CRPC designation.

Chris supports multiple charitable organizations including Ronald McDonald House, Heart Gallery of Alabama, and several international charities through a community coalition that partners with ProEquities.

About Pic

The Issues

As a FINRA Board member, I’m ready to focus on the following key goals to benefit our industry:

End Rulemaking By Enforcement

I will prioritize ending rulemaking by enforcement, enhancing transparency and making it easier for firms to work with our primary regulator. Operating under the looming fear of retroactive enforcement is no way to do business. I will work to encourage more transparency with our regulators to establish clearly delineated rules that are developed through an inclusive process.

Serve as a Voice for Financial Advice-Focused Firms and Their Clients

I’m happy to bring to FINRA’s Board fresh perspectives and a new voice representing the views of all financial services firms, financial advisors and their clients. Firms focused on the delivery of financial advice, including life, annuity and fixed income solutions, need a more prominent and unified voice in educating the FINRA Board on what we do and the value we provide to retail investors.

Provide Objective Representation

As an industry, we must do more to educate regulators to counter their misperceptions about our firms. There continues to be an erroneous perception that firms that primarily or exclusively focus on retail financial advice lack sophistication and strategic depth. To counter this bias, the FINRA Board must include members who recognize the criticality of this segment that serves an ever-growing share of U.S. investors.

Level the Playing Field

It’s time for our industry to do more to create a level playing field between broker-dealers and RIAs to end “regulatory arbitrage.” With the passage of Reg BI, we have an unprecedented opportunity to drive greater alignment across the industry.

Thank you for voting!

News & Updates

ProEquities President and CEO Chris Flint Announces Successful Election to FINRA Board of Governors
Industry Leader with 23 Years of Experience, Endorsed by the Financial Services Institute and the Bank Insurance Securities Association, Elected to FINRA Board’s Large Firms Seat
August 20, 2019

BIRMINGHAM, Ala.–(BUSINESS WIRE)–ProEquities, a leading independent financial advisory and brokerage firm, and a subsidiary of Protective Life Corporation, today announced the successful election of its President and CEO, Chris Flint, to the FINRA Board of Governors. Mr. Flint, who launched his candidacy for the FINRA Board’s Large Firms Seat on July 24, was formally endorsed by both the Financial Services Institute (FSI) and the Bank Insurance and Securities Association (BISA).

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ProEquities CEO and FINRA Board Candidate Chris Flint: ‘We Have to Get This Right’
By Rich Blake
August 14, 2019

Chris Flint is convinced that the retail advisory industry is at a crossroads, and the president and CEO of Birmingham, Alabama-based independent broker-dealer ProEquities has decided to step forward to help guide the way.

Read the Portfolio article.


‘Shocking’ FINRA elections to feature rarely contested race for large-firm rep
By Kenneth Corbin
August 14, 2019

Brokerage shops will have a rare opportunity to weigh in on who will represent large firms at FINRA as they cast ballots for two members of the regulator’s board of governors later this month.

Read the FinancialPlanning article.


Meet Your FINRA Board of Governors Large Firm Candidates
By John Manganaro
August 5, 2019

A contested election for a seat on the FINRA Board of Governors will be settled at the annual meeting of member firms on August 19. PLANADVISER spoke recently with both candidates in the tight race for the open large firm seat.

Read the PLANADVISOR article.


Regulators Can Protect Investors, Support Advisors In A Post-Reg BI Environment
August 2, 2019

With the SEC’s Regulation Best Interest (Reg BI) now a reality, our industry and its regulators—including FINRA and others—have been presented with a unique opportunity to create an improved framework that provides better access to objective, independent financial advice for all retail investors.

Read the Financial Advisor article.


ProEquities CEO Announces Candidacy for FINRA Large Firms Seat
July 31, 2019

Chris Flint, the president and CEO of ProEquities, has launched his candidacy for the large firms seat in this year’s FINRA board of governors’ election, happening from July 19 through August 19.

Read The DI Wire article.


Two Finra Board Incumbents Face Challenges In August Election
July 29, 2019
By Joyce Blay

Two members of the Finra Board of Governors are facing challenges in elections to be held next month.

Incumbent Andrew Duff of Piper Jaffray & Co., an investment bank and asset manager headquartered in Minneapolis, will be defending his large firms seat from a challenge by Chris Flint of ProEquities Inc. in Birmingham, Ala., according to public notices by Finra.

Read the Financial Advisor article.


Industry Groups Push Indie Candidate for FINRA Board
FSI and the Bank Insurance & Securities Association are both supporting ProEquities President and CEO Chris Flint.
By Janet Levaux
July 26, 2019

The Financial Services Institute, an advocacy group for independent broker-dealers and advisors, says it is supporting ProEquities President and CEO Chris Flint for a Financial Industry Regulatory Authority board seat. Flint also has been endorsed by the Bank Insurance & Securities Association (BISA).

Read the ThinkAdvior article.


ProEquities CEO Chris Flint Announces Run for FINRA Board Seat
Chris Flint has been endorsed by the Financial Services Institute and the Bank Insurance & Securities Association in his attempt to fill a ‘Large Firms’ seat on the Board of Governors for the regulatory agency.
By Patrick Donachie
July 24, 2019

Chris Flint, the President and CEO of the Birmingham, Ala.-based RIA and broker/dealer firm ProEquities is campaigning for a Large Firms seat on the FINRA Board of Governors. He’s been endorsed by the Financial Services Institute (FSI) and the Bank Insurance & Securities Association (BISA), two prominent advocacy organizations for financial advisors; it is the first time the latter has endorsed a candidate for the FINRA Board.

Read the Wealth Management article.


FSI Endorses Chris Flint For FINRA Large Board Seat
July 24, 2019

WASHINGTON, D.C. – Today, the Financial Services Institute (FSI) officially endorsed Chris Flint, President & CEO of ProEquities, and Senior Vice President, Distribution Companies, Protective Life Insurance Company, for the FINRA Large Firm Board seat. The election for this position will take place August 19. ProEquities and Protective Life Insurance Company are headquartered in Birmingham, Alabama. Mr. Flint received more than enough petition signatures from FINRA large firms to be included on the official ballot.

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BISA Endorses Chris Flint for FINRA Large Board Seat
July 24, 2019

WASHINGTON, D.C. – Today, the Bank Insurance & Securities Association (BISA) officially endorsed Chris Flint, President & CEO of ProEquities, and Senior Vice President, Distribution Companies, Protective Life Insurance Company, for the FINRA Large Firm Board seat. The election for this position will take place August 19. ProEquities and Protective Life Insurance Company are headquartered in Birmingham, Alabama.  Mr. Flint received more than enough petition signatures from FINRA large firms to be included on the official ballot.

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ProEquities President and CEO Chris Flint Announces Candidacy for FINRA Large Firms Seat
Industry Leader with 23 Years of Experience Across Virtually Every Function in the Financial Services Space Formally Endorsed by Financial Services Institute and BISA
July 24, 2019

BIRMINGHAM, Ala.–(BUSINESS WIRE)–ProEquities, a leading independent financial advisory and brokerage firm, and a subsidiary of Protective Life Corporation, today announced that its President and CEO Chris Flint has launched his candidacy for the Large Firms seat in this year’s FINRA Board of Governors’ election, happening from July 19 through August 19.

Continue reading