2013-11-08T12:14:03-06:00 2012-12-31 580692043 Mauldin & Jenkins LLC 200 Galleria Pkwy SE Ste 1700 Atlanta GA 303395946 990 2012-01-01 200587793 Financial Services Institute Inc FINA 7709808480 607 14th Street NW No 750 Washington DC 20005 Dale Brown 7709808480 2013-10-30 1 Aleisa Howell P00936721 7709558600 2013-10-30 2012 2016-02-24 21:20:13Z X Dale Brown 607 14th Street NW No 750 Washington DC 20005 5379736 0 X www.financialservices.org X 2004 GA Financial Services Institute 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. 19 18 23 50 0 0 33727 400 3879563 5374899 9750 4437 0 0 3923040 5379736 0 0 0 0 2546989 2873456 0 0 0 2122350 2863074 4669339 5736530 -746299 -356794 3841004 4909878 2634559 4060227 1206445 849651 Financial Services Institute 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 dealers and financial advisors. 0 0 0 1 0 0 0 0 0 1 0 0 0 0 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 28 0 1 23 1 0 0 0 0 1 1 0 X 19 18 0 0 0 0 1 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 GA X The Organization 7709808480 607 14th Street NW No 750 Washington DC 20005 Dale Brown 40.00 X X 623862 0 21311 R Lawrence Larry Roth 4.00 X X 0 0 0 Michael Mike J Mungenast 4.00 X X 0 0 0 Joseph Joe R Russo 4.00 X X 0 0 0 Timothy Tim B Murphy 4.00 X X 0 0 0 Valerie G Brown 4.00 X 0 0 0 Adam Antoniades 1.00 X 0 0 0 Derek Bruton 1.00 X 0 0 0 Rick Carlson 1.00 X 0 0 0 Steve Chipman 1.00 X 0 0 0 William Bill E Dwyer III 1.00 X 0 0 0 Dean Harman 1.00 X 0 0 0 Jim Herrington 1.00 X 0 0 0 Richard J Lampen 1.00 X 0 0 0 Jim Livingston 1.00 X 0 0 0 Seth Miller 1.00 X 0 0 0 John Moloney 1.00 X 0 0 0 Clive Slovin 1.00 X 0 0 0 David Stringer 1.00 X 0 0 0 David Bellaire 40.00 X 327100 0 17092 Keith Kelly 40.00 X 620004 0 7243 Kevin Whitehead 40.00 X 220706 0 14542 Christopher Paulitz 40.00 X 199467 0 19183 1991139 0 79371 5 0 1 0 Eris Group 439 New Jersey Ave Washington DC 20003 Lobbyist 150603 Amanda L Carman CPA 138 Morgan Lake Lane Dallas GA 30157 Accounting 134255 REEP-OFC Westory DC LLC 51 Madison Ave New York NY 10010 Rents 112139 The Eventors 1181 Mile Post Dr Suite 100 Atlanta GA 30338 Event Planning 106711 4 400 400 Memberships 900099 3793208 3793208 Sponsor Income 900099 1154416 1154416 Broker-Dealer Conferen 900099 422335 422335 Other Program Revenue 900099 4940 4940 5374899 4437 4437 5379736 5374899 0 4437 1886236 787613 65386 134221 81898 305401 173103 397983 184316 117229 88824 283059 187119 465997 54100 7633 Newsletter 230906 Advocacy 140812 Bad debt 54840 Staff education 28116 61738 5736530 32678 3047659 3928285 486022 626136 168635 134292 452685 241514 96016 211171 9994 9994 3841004 4909878 784496 1050205 1850063 3010022 2634559 4060227 X 1206445 849651 0 0 1206445 849651 3841004 4909878 -356794 0 X X 0 1 X 1 0 1 0 1 3793208 3450284 1270712 4720996 3793208 927788 -927788 7686 748 6938 87886 29895 57991 357113 210871 146242 211171 X 5379736 0 5379736 0 5379736 5736530 0 5736530 0 5736530 Description of Uncertain Tax Positions Under FIN 48: Part X, Line 2: The organization does not have any uncertain tax positions under FIN 48. The Institute accounts for uncertain tax positions in accordance with accounting standards that provide guidance on when uncertain tax positions are recognized in an entity's consolidated financial statements and how the values of these positions are determined. No liability has been recorded as of December 31, 2012 and 2011 due to uncertain tax positions. X X X X 1 0 0 Dale Brown 275000 0 345851 0 3011 0 8816 0 12495 0 645173 0 0 0 David Bellaire 220699 0 106401 0 0 0 8504 0 8588 0 344192 0 0 0 Keith Kelly 232779 0 202500 0 184725 0 7188 0 55 0 627247 0 0 0 Kevin Whitehead 147488 0 73218 0 0 0 5789 0 8753 0 235248 0 0 0 Christopher Paulitz 182750 0 16501 0 216 0 5196 0 13987 0 218650 0 0 0 Part I, Line 4a Keith Kelly $184,725 Severance 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 11 The organization sends a draft copy of the form 990 to the board members to review via e-mail. Form 990, Part VI, Section B, line 12c The Board of Directors meets each January and discusses any potential conflict of interest and then completes a form. Form 990, Part VI, Section B, line 15 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 organization makes its governing documents, conflict of interest policy, and financial statements available to the public upon request. Form 990, Part XII, Line 2C The organization did not change its oversight process or selection process during the year. Part XII, Line 2d The consolidated financial statements include the accounts of the Financial Services Institute, Inc. and the Financial Services Inc. Political Action Committee ("the PAC"). The PAC is a non-profit, unincorporated association which is controlled by the Institute. The PAC has a reporting requirement under the Federal Election Campaign Act. Therefore, PAC activity is not reported and included on Form 990 for Financial Services, Institute, Inc. Form 990 Part I Line 5 Financial Services Institute, Inc., (FSI) leases their employees from Adam Keegan, Inc. FSI controls the details of work performance therefore employees are common law employees of FSI. The number of W-2's issued per W-3 reflects the number of common law employees of FSI. This number is included in the W-3 reported under Adam Keegan, Inc. Financial Servics Institute PAC 900 Circle 75 Suite 860 Atlanta GA 30339 Campaign support GA 527 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0