2012-11-07T08:53:48-06:00 2011-12-31 580692043 Mauldin & Jenkins LLC 200 Galleria Parkway SE Suite 1700 Atlanta GA 303395946 990 2011-01-01 200587793 Financial Services Institute Inc FINA 7709808480 1905 Woodstock Road Ste 1200 Roswell GA 30075 Dale Brown 7709808480 2012-11-06 1 Aleisa Howell P00936721 7709558600 2011 2016-02-24 21:20:13Z X Dale Brown 1905 Woodstock Road Ste 1200 Roswell GA 30075 3926364 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. 15 14 19 50 0 0 237250 33727 3326581 3879563 20170 9750 0 0 3584001 3923040 0 0 0 0 1590605 2546989 0 0 0 1846054 2122350 3436659 4669339 147342 -746299 3808861 3841004 1856117 2634559 1952744 1206445 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 1 0 1 0 0 0 0 0 1 0 0 0 0 0 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 0 1 35 0 1 19 1 0 0 0 0 1 1 0 X 15 14 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 1905 Woodstock Road Ste 1200 Rosewll GA 30075 Joseph R Russo 4.00 X X 0 0 0 R Lawrence Roth 4.00 X X 0 0 0 William E Dwyer III 1.00 X X 0 0 0 Michael J Mungenast 1.00 X X 0 0 0 Valerie G Brown 1.00 X 0 0 0 Adam N Antoniades 1.00 X 0 0 0 Rick M Carlson 1.00 X 0 0 0 Dean A Harman 1.00 X 0 0 0 James W Herrington 1.00 X 0 0 0 James L Livingston Jr 1.00 X 0 0 0 E John Moloney 1.00 X 0 0 0 Timothy B Murphy 1.00 X 0 0 0 Clive Slovin 1.00 X 0 0 0 Frank A Tauches Jr 1.00 X 0 0 0 Dale Brown 40.00 X 424318 0 24176 David Bellaire 40.00 X 280366 0 8403 Keith Kelly 40.00 X 211720 0 1578 Matt Schwartz 40.00 X 118568 0 9546 Kevin Whitehead 40.00 X 193149 0 14045 1228121 0 57748 6 0 1 0 Eris Group 439 New Jersey Ave Washington DC 20003 Lobbyist 151651 1 33727 33727 Memberships 900099 2498306 2498306 Sponsor Income 900099 833000 833000 Broker-Dealer Conferen 900099 520261 520261 Other Program Revenue 900099 27996 27996 3879563 13074 13074 3324 -3324 -3324 -3324 3923040 3879563 0 9750 950561 1411719 79409 105300 72058 75426 151651 437786 133973 118829 80 114705 213950 427769 31512 6464 Newsletter 128358 Advocacy 103233 Relocation expenses 58317 Credit Card Discount an 23285 24954 4669339 32678 3098194 3047659 510579 486022 126988 168635 283431 187415 66253 96016 6847 9994 3808861 3841004 451236 784496 1404881 1850063 1856117 2634559 X 1715494 1206445 237250 0 1952744 1206445 3808861 3841004 -746299 0 X X 0 1 1 X 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1 0 1 2498306 3102298 684720 3787018 1249153 1249153 65628 15952 49676 217803 171463 46340 96016 Description of Uncertain Tax Positions Under FIN 48: Part X: The organization does not have any uncertain tax positions under FIN 48. X X X X 0 0 0 Dale Brown 262966 0 161352 0 0 0 9800 0 14376 0 448494 0 0 0 David Bellaire 198495 0 81871 0 0 0 71 0 8332 0 288769 0 0 0 Keith Kelly 211619 0 101 0 0 0 1533 0 45 0 213298 0 0 0 Kevin Whitehead 136805 0 56344 0 0 0 5540 0 8505 0 207194 0 0 0 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 1 1 0 0 0 0