FINANCIAL SERVICES INSTITUTE INC

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Financial Vulnerability Assessment (Tuckman-Chang)

4 risk indicators measuring financial stability and operational resilience

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Financial Trends

Organization Details

Formation Year

2004

Legal Domicile

Principal Officer

DALE BROWN

Phone

8883731840

Tax Period

2024-01-01 to 2024-12-31

FINANCIAL SERVICES INSTITUTE INC, founded in 2004, is a mid-sized nonprofit in the Community Improvement sector that reported $12.1M in total revenue in fiscal year 2024. Revenue grew 10% year-over-year, indicating healthy expansion.

Mission

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.

Program Service Accomplishments

Program 1

TO PROVIDE SUPPORT TO INDEPENDENT FINANCIAL ADVISORS AND FINANCIAL SERVICES FIRMS THROUGH CONSTRUCTIVE ADVOCACY WITH FEDERAL AND STATE REGULATORS AND LEGISLATORS.

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Trantor Score

Financial Health Score (300–850) · Liquidity · Solvency · Sustainability · Efficiency

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Liquidity (40%) • Solvency (30%) • Sustainability (20%) • Efficiency (10%)

Financial Overview (2024)

Revenue Breakdown

Contributions & Grants $0

Program Service Revenue $11,624,023

Investment Income $417,935

Other Revenue $33,838

TOTAL REVENUE $12,075,796

Expense Breakdown

Grants Paid $0

Salaries & Benefits $7,322,184

Fundraising Expenses $0

Other Expenses $4,713,800

TOTAL EXPENSES $12,035,984

Year-over-Year Comparison

	2024	2023	Change
Revenue	$12,075,796	$10,995,600	+0.1%
Expenses	$12,035,984	$10,920,480	+0.1%
Net Income	$39,812	$75,120	-0.5%

Key Indicators

✗ Grants to Organizations ✗ Grants to Individuals ✗ Lobbying ✗ Political Activity ✗ Foreign Activities ✗ Donor Advised Fund ✗ Schedule B Required

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Financial Health Indicators

Comprehensive financial analysis: Altman Z-Score, liquidity, solvency, sustainability, efficiency, and growth metrics

Financial Distress Indicator

Liquidity & Cash Position

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Altman Z-Score • Liquidity Ratios • Solvency Analysis • Growth Indicators • Efficiency Metrics

Governance

Voting Members

Independent Members

Employees

Volunteers

Governance Policies

✓ Conflict of Interest Policy

✓ Whistleblower Policy

✓ Document Retention Policy

Special Practices & Reported Activities

✗ Operated a School

✗ Operated a Hospital

✗ Provided First Class Travel

✗ Reported Conflict of Interest

✗ Reported Asset Diversion

✗ Excess Benefit Transaction

✗ Made Political Expenditures

✗ Engaged in Lobbying

✗ Operated Donor Advised Fund

✗ Maintained Art Collections

✗ Filed Form 720

Compensation of Officers, Directors & Key Employees

Total Officers

$2,534,311

Total Directors

$1,691,210

Key Employees

$712,189

Highest Compensated

reported

Name	Title	Hours/Week	Role	Reportable Comp	Other Comp	Total
JAMIE PRICE	CHAIR	4.00	Officer Director	$0	$0	$0
SCOTT SPIKER	IMMEDIATE PAST CHAIR	4.00	Officer Director	$0	$0	$0
TIM STINSON	VICE CHAIR	4.00	Officer Director	$0	$0	$0
CHRISTINE BYRNE	CHAIR, FINANCE COMMITTEE	1.00	Officer Director	$0	$0	$0
DOUG KETTERER	FSI PAC CHAIR	1.00	Officer Director	$0	$0	$0
ED FORST	MEMBER	4.00	Director	$0	$0	$0
JODI PERRY	MEMBER	4.00	Director	$0	$0	$0
VON COOK	MEMBER	1.00	Director	$0	$0	$0
ALEX DAVID	MEMBER	1.00	Director	$0	$0	$0
MARY BETH HOFMEISTER	MEMBER	1.00	Director	$0	$0	$0
ADAM MALAMED	MEMBER	1.00	Director	$0	$0	$0
LIBET ANDERSON	MEMBER	1.00	Director	$0	$0	$0
DENISE BARROWS	MEMBER	1.00	Director	$0	$0	$0
TOM MCCARTNEY	MEMBER	1.00	Director	$0	$0	$0
EMILY SCHLOSSER	MEMBER	1.00	Director	$0	$0	$0
MARY STEELE	MEMBER	1.00	Director	$0	$0	$0
MARC SQUIRES	MEMBER	1.00	Director	$0	$0	$0
BEN WUERFFEL	MEMBER	1.00	Director	$0	$0	$0
AMY WEBBER	MEMBER	1.00	Director	$0	$0	$0
DAVID KNOCH	MEMBER	1.00	Director	$0	$0	$0
STEPHEN LANGLOIS	MEMBER	1.00	Director	$0	$0	$0
ROBERT MILMORE	MEMBER	1.00	Director	$0	$0	$0
JOHN ROONEY	MEMBER	1.00	Director	$0	$0	$0
GWEN WEITHAUS	MEMBER	1.00	Director	$0	$0	$0
DALE BROWN	PRESIDENT & CEO	40.00	Officer Director	$1,430,166	$261,044	$1,691,210
DAVID BELLAIRE	EXEC VP & GENERAL COUNSEL	40.00	Officer	$690,492	$152,609	$843,101
BRETT MCALLISTER	SVP, FINANCE, OPS & BUS STRAT	40.00	Key Emp	$600,884	$111,305	$712,189
ROBIN TRAXLER	SVP, POLICY & DEP GEN CO	40.00	Highest	$477,580	$102,101	$579,681
MICHELLE ALLGAUER	SVP, EDUCATION & ENG	40.00	Highest	$480,020	$88,725	$568,745
RENEE BARNETT	VP, FED REG AFFAIRS	40.00	Highest	$343,818	$84,852	$428,670
CHRISTOPHER PAULITZ	HEAD, STRAT. INITIATIVES	40.00	Highest	$321,385	$34,684	$356,069
KATHRYN ANDERSON	SVP, GROWTH & STRAT PART	40.00	Highest	$318,101	$84,032	$402,133

Note: Compensation data is self-reported by the organization on their Form 990. "Reportable Comp" includes salary, bonuses, and other reportable compensation from the organization and related organizations. "Other Comp" includes benefits, deferred compensation, and non-taxable benefits.

Historical Data

Year	Revenue	Expenses	Assets	Net Income
2025	No data	No data	No data	No data
2024	$12,075,796	$12,035,984	$15,058,119	$39,812
2023	$10,995,600	$10,920,480	$15,672,523	$75,120
2022	$10,638,881	$10,345,882	$15,775,442	$292,999
2021	$9,484,774	$9,207,336	$15,307,729	$277,438
2020	$10,710,617	$9,925,442	$14,528,941	$785,175
2019	$10,363,757	$9,390,117	$15,063,133	$973,640
2018	$9,959,280	$8,908,653	$13,114,954	$1,050,627
2018	$9,959,280	$8,908,653	$13,114,954	$1,050,627