2026-07-08T15:18:23-05:00 2025-12-31 541498950 RENNER AND COMPANY CPA PC 700 NORTH FAIRFAX STREET SUITE 400 ALEXANDRIA VA 22314 990 2025-01-01 200587793 FINANCIAL SERVICES INSTITUTE INC FINA 8883731840 1201 PENNSYLVANIA AVE NW 700 WASHINGTON DC 20004 DALE BROWN PRESIDENT & CEO 8883731840 2026-07-07 1 ADRIEL HENRIQUEZ BAIRES CPA P01822536 7035351200 2026-07-07 2025 2025-03-06 01:10:19Z DALE BROWN 1201 PENNSYLVANIA AVE NW 700 WASHINGTON DC 20004 11792461 0 X WWW.FINANCIALSERVICES.ORG X 2004 GA TO CREATE A HEALTHIER REGULATORY ENVIRONMENT FOR INDEPENDENT BROKER-DEALERS AND THEIR AFFILIATED INDEPENDENT FINANCIAL ADVISORS THROUGH AGGRESSIVE AND EFFECTIVE ADVOCACY, EDUCATION AND PUBLIC AWARENESS. 21 21 23 21 36081 31441 0 0 11624023 10973608 417935 536993 33838 78736 12075796 11589337 0 0 0 0 7322184 7010106 0 0 0 4713800 4544007 12035984 11554113 39812 35224 15058119 14052226 7362979 7587711 7695140 6464515 FINANCIAL SERVICES INSTITUTE'S MISSION IS TO CREATE A HEALTHIER REGULATORY ENVIRONMENT FOR INDEPENDENT BROKER-DEALERS AND THEIR AFFILIATED INDEPENDENT FINANCIAL ADVISORS THROUGH AGGRESSIVE AND EFFECTIVE ADVOCACY, EDUCATION AND PUBLIC AWARENESS. 0 0 TO PROVIDE SUPPORT TO INDEPENDENT FINANCIAL ADVISORS AND FINANCIAL SERVICES FIRMS THROUGH CONSTRUCTIVE ADVOCACY WITH FEDERAL AND STATE REGULATORS AND LEGISLATORS. 0 0 0 1 0 0 0 0 0 1 0 0 1 1 1 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 25 0 1 23 1 1 1 0 0 0 0 0 1 0 X 21 21 0 0 0 0 1 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 X BRETT MCALLISTER 8883731840 1201 PENNSYLVANIA AVE NW SUITE 700 WASHINGTON DC 20004 DALE BROWN PRESIDENT & CEO 40.00 X X 939692 0 189242 TIM STINSON CHAIR 4.00 X X 0 0 0 CHRISTINE BYRNE VICE CHAIR 1.00 X X 0 0 0 JAMIE PRICE PAST CHAIR 4.00 X X 0 0 0 STEPHEN LANGLOIS FSI PAC CHAIR 4.00 X X 0 0 0 VON COOK FINANCE CHAIR 4.00 X X 0 0 0 LIBET ANDERSON MEMBER 1.00 X 0 0 0 GARY BAKER MEMBER 1.00 X 0 0 0 ALEX DAVID MEMBER 1.00 X 0 0 0 ED FORST MEMBER 4.00 X 0 0 0 DAVID KNOCH MEMBER 1.00 X 0 0 0 ADAM MALAMED MEMBER 1.00 X 0 0 0 THOMAS MCCARTNEY MEMBER 1.00 X 0 0 0 ROBERT MILMORE MEMBER 1.00 X 0 0 0 ROB MOLINARI MEMBER 1.00 X 0 0 0 CHRIS PERRY MEMBER 1.00 X 0 0 0 SHANNON REID MEMBER 1.00 X 0 0 0 EMILY SCHLOSSER MEMBER 1.00 X 0 0 0 MARY STEELE MEMBER 1.00 X 0 0 0 MARK STEFFE MEMBER 1.00 X 0 0 0 AMY WEBBER MEMBER 1.00 X 0 0 0 BEN WUERFFEL MEMBER 1.00 X 0 0 0 DAVID BELLAIRE EXEC VP & GENERAL COUNSEL 40.00 X 1432264 0 151606 BRETT MCALLISTER SVP, FINANCE, OPS & BUS ST 40.00 X 628090 0 100584 MICHELLE ALLGAUER SVP, EDUCATION & ENG 40.00 X 501890 0 86472 KATHRYN ANDERSON SVP, GROWTH & STRAT PART 40.00 X 349286 0 83955 ROBIN TRAXLER SVP, POLICY & DEP GEN CO 40.00 X 396101 0 30005 HANNA LAVER LEGISLATIVE AFFAIRS & SENIOR COUNSEL 40.00 X 227809 0 34881 RENEE BARNETT VP, FED REG AFFAIRS 40.00 X 203935 0 36759 4679067 0 713504 15 0 1 0 GIBSON DUNN & CRUTCHER LLP 1700 M STREET NW WASHINGTON DC 20036 LEGAL SERVICES 471339 EVERSHEDS SUTHERLAND LLP 700 SIXTH STREET NW SUITE 700 WASHINGTON DC 20001 LEGAL SERVICES 224737 THORN RUN PARTNERS LLC 100 M STREET SE WASHINGTON DC 20003 PUBLIC RELATIONS 180000 HAVENTOWER GROUP INC 3019 WILSHIRE BLVD SANTA MONICA CA 90403 PUBLIC RELATIONS 126802 DUANE MORRIS LLP 1940 ROUTE 70 EAST SUITE 100 CHERRY HILL NJ 08003 LEGAL SERVICES 124368 5 MEMBERSHIP DUES 900099 8753048 8753048 SPONSORSHIP REVENUE 900099 1159007 1159007 CONFERENCE AND SPECIAL MEETINGS 900099 557722 557722 EXHIBIT INCOME 900099 399250 399250 ADVOCACY SUPPORT 900099 68500 68500 36081 36081 10973608 427323 427323 312794 203124 109670 109670 109670 OTHER INCOME 900099 78736 78736 78736 11589337 10617013 36081 936243 3441478 2250633 629450 366958 321587 572580 164000 127543 4699 80676 223291 703250 61044 759430 47376 21410 LEGISLATIVE EXPENSES 369472 REGULATORY EXPENSES 364752 MEMBERSHIP EXPENSES 284229 PERSONNEL EXPENSES & DE 237025 523230 11554113 1213188 2166210 5971182 5973449 49132 63409 1036262 552778 849939 705181 140807 144758 1066448 5581100 5151622 15058119 14052226 673497 438337 2128579 2165336 4560903 4984038 7362979 7587711 X 7695140 6464515 7695140 6464515 15058119 14052226 X 35224 182267 -1448116 0 X X 0 1 X 1 0 FINANCIAL SERVICE INSTITUTE PAC 1201 PENNSYLVANIA AVE NW SUITE 70 WASHINGTON DC 20004 200587793 1 0 0 PART I-A, LINE 1: ADMINISTERED THE FINANCIAL SERVICES INSTITUTE PAC. 251949 176840 75109 110977 74646 36331 487013 453695 33318 144758 CONTRIBUTIONS - 457 PLAN 3173900 RIGHT OF USE ASSET 1977722 5151622 OFFICE LEASE LIABILITY 2448732 457 PLAN PAYABLE 2499110 EXCISE TAX PAYABLE 36196 4984038 X PART X, LINE 2: IN ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, ACCOUNTING STANDARDS REQUIRE AN ENTITY TO RECOGNIZE THE FINANCIAL STATEMENT IMPACT OF A TAX POSITION WHEN IT IS MORE-LIKELY-THAN-NOT THAT THE POSITION WILL NOT BE SUSTAINED UPON EXAMINATION. MANAGEMENT EVALUATED THE INSTITUTE'S TAX POSITIONS AND CONCLUDED THAT THE INSTITUTE HAS TAKEN NO UNCERTAIN TAX POSITION THAT REQUIRES ADJUSTMENT TO THE CONSOLIDATED FINANCIAL STATEMENTS TO COMPLY WITH THE PROVISIONS OF THIS GUIDANCE. X X X X X 0 1 0 DAVID BELLAIRE EXEC VP & GENERAL COUNSEL 1432264 0 0 0 0 0 120904 0 30702 0 1583870 0 0 0 DALE BROWN PRESIDENT & CEO 939692 0 0 0 0 0 158540 0 30702 0 1128934 0 0 0 BRETT MCALLISTER SVP, FINANCE, OPS & BUS ST 524421 0 103669 0 0 0 89340 0 11244 0 728674 0 0 0 MICHELLE ALLGAUER SVP, EDUCATION & ENG 417548 0 84342 0 0 0 76017 0 10455 0 588362 0 0 0 KATHRYN ANDERSON SVP, GROWTH & STRAT PART 349286 0 0 0 0 0 53253 0 30702 0 433241 0 0 0 ROBIN TRAXLER SVP, POLICY & DEP GEN CO 247781 0 148320 0 0 0 14999 0 15006 0 426106 0 0 0 HANNA LAVER LEGISLATIVE AFFAIRS & SENIOR COUNSEL 227809 0 0 0 0 0 34299 0 582 0 262690 0 0 0 RENEE BARNETT VP, FED REG AFFAIRS 203935 0 0 0 0 0 12317 0 24442 0 240694 0 0 0 PART I, LINE 4B BROWN, DALE - $137,539.87 BELLAIRE, DAVID - $99,904.37 MCALLISTER, BRETT - $68,340.04 ALLGAUER, MICHELLE - $55,597.95 ANDERSON, KATHRYN - $38,729.24 LAVER, HANNA - $24,050.00 FORM 990, PART VI, SECTION A, LINE 6 THIS IS A MEMBERSHIP ORGANIZATION WHO IS INTERESTED IN CREATING A HEALTHIER REGULATORY ENVIRONMENT FOR INDEPENDENT BROKER-DEALERS AND THEIR AFFILIATED INDEPENDENT FINANCIAL ADVISORS THROUGH AGGRESSIVE AND EFFECTIVE ADVOCACY, EDUCATION AND PUBLIC AWARENESS. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 AND ALL SCHEDULES WERE CIRCULATED TO THE BOARD OF DIRECTORS FOR REVIEW AND COMMENT. A DEADLINE WAS ESTABLISHED FOR COMMENTS. AFTER COMMENTS WERE RECEIVED AND REVIEWED, THE FORM 990 WAS FINALIZED AND SUBMITTED. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD OF DIRECTORS MEET EACH JANUARY AND DISCUSSES ANY POTENTIAL CONFLICT OF INTEREST AND THEN COMPLETES A FORM. FORM 990, PART VI, SECTION B, LINE 15A THE POLICY FOR DETERMINING COMPENSATION FOR THE CEO IS REVIEWED AND APPROVED BY THE BOARD OF DIRECTORS OR COMPENSATION COMMITTEE. USE OF DATA AS TO COMPARABLE COMPENSATION FOR SIMILARLY QUALIFIED PERSONS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED ORGANIZATIONS, AND CONTEMPORANEOUS DOCUMENTATION AND RECORDKEEPING WITH RESPECT TO THE DELIBERATIONS AND DECISIONS REGARDING THE COMPENSATION ARRANGEMENT. FORM 990, PART VI, SECTION C, LINE 19 THE INSTITUTE MAKES ITS GOVERNING DOCUMENTS, CONFICTS OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. TOTAL BEGINNING NET ASSETS WERE ADJUSTED BY $(1,311,902). AFTER INCLUDING THE ADJUSTMENT TO NET ASSETS WITH DONOR RESTRICTIONS OF $(136,214), THE TOTAL PRIOR-PERIOD ADJUSTMENT WAS $(1,448,116). FORM 990, PART XII, LINE 2C: THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. THE FINANCE COMMITTEE MAINTAINS OVERSIGHT OVER THE INDEPENDENT AUDIT AND SELECTION OF THE INDEPENDENT AUDITORS. FINANCIAL SERVICES INSTITUTE PAC 1201 PENNSYLVANIA AVE NW SUITE 700 WASHINGTON DC 20004 CAMPAIGN SUPPORT DC 527 N/A FINANCIAL SERVICES INSTITUTE 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0