Eric Noll

Eric Noll is the current chairperson at FINRA. Eric was previously the president and CEO at Convergex from January 2013 to December 2017. Eric was hired to rebuild Convergex following a highly challenging regulatory and client relationship situation. Eric led cost savings efforts, restored morale, and restructured management with proven leaders. Eric transformed a previous revenue decrease of 35% into growth of 16% by 2016, while reversing EBITDA from negative to positive. In January of 2017, they arranged for a strategic sale of options assets of Convergex (Liquidpoint) to Dash Financial. Eric successfully negotiated the acquisition by the Cowen Group in 2017 of all of the remaining assets of Convergex, including Westminster Research Associates. As president and CEO, Eric managed P&L for all of Convergex’s domestic and international equity businesses. Eric led an organization of 440 employees, reduced from an initial count of 650, before cost reduction measures and sale of the options business. Eric revitalized the company’s product mix by developing a range of new and innovative offerings, including a replatformed ATS, several new execution algorithms, and a new liquidity seeking tool for block ETFs. Eric executed a massive industry effort with a focus on face-to-face client meetings to re-earn trust and explain their vision for the future of the company. This effort helped to establish Convergex as a leader in market structure, innovation, and the application of technology; while delivering efficient and successful executions via new tools and functionality. Eric traveled across the US and internationally, 60% of the time, to conduct client meetings, support ongoing operations, and deliver speeches at conferences and industry events.

Eric Noll has a Bachelor of Arts from Franklin & Marshall College in Government and Economics. Eric also has a Master of Business Administration (M.B.A.) from Vanderbilt University - Owen Graduate School of Management in Finance. Eric is certified from the Financial Industry Regulatory Authority (FINRA) in Series 7, 63 & 24.