SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION

EIN: 320178959 Community Improvement

NEW YORK, NY

Total Revenue
$61,779,060
Total Expenses
$62,259,281
Total Assets
$80,889,764
Net Assets
$31,240,395
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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
2006
Legal Domicile
DE
Principal Officer
KENNETH E BENTSEN JR
Phone
2123131371
Tax Period
2023-11-01 to 2024-10-31

SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION, founded in 2006, is a mid-sized nonprofit in the Community Improvement sector that reported $61.8M in total revenue in fiscal year 2023.

Mission

SIFMA IS THE VOICE OF THE NATION'S SECURITIES INDUSTRY, BRINGING TOGETHER (CONT. ON SCH. O) THE SHARED INTERESTS OF HUNDREDS OF BROKER-DEALERS, INVESTMENT BANKS AND ASSET MANAGERS. WE ADVOCATE FOR EFFECTIVE AND RESILIENT CAPITAL MARKETS.

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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%)

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Financial Overview (2023)

Revenue Breakdown

Contributions & Grants $0
Program Service Revenue $58,376,406
Investment Income $2,620,141
Other Revenue $782,513
TOTAL REVENUE $61,779,060

Expense Breakdown

Grants Paid $180,639
Salaries & Benefits $40,027,014
Fundraising Expenses $0
Other Expenses $22,051,628
TOTAL EXPENSES $62,259,281

Year-over-Year Comparison

2023 2022 Change
Revenue $61,779,060 $60,293,967 +0.0%
Expenses $62,259,281 $57,479,959 +0.1%
Net Income $-480,221 $2,814,008 -1.2%
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

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Governance

Voting Members
40
Independent Members
39
Employees
149
Volunteers
19164

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
12
$8,282,339
Total Directors
49
$2,875,804
Key Employees
0
$0
Highest Compensated
5
reported
Name Title Hours/Week Role Reportable Comp Other Comp Total
KENNETH E BENTSEN JR PRESIDENT & CEO 40.00
Officer Director
$2,788,424 $87,380 $2,875,804
KENNETH CELLA CHAIR 2.00
Officer Director
$0 $0 $0
LAURA CHEPUCAVAGE CHAIR-ELECT 2.00
Officer Director
$0 $0 $0
JIM REYNOLDS CHAIR-EMERITUS 2.00
Officer Director
$0 $0 $0
RONALD KRUSZEWSKI VICE CHAIR 2.00
Officer Director
$0 $0 $0
LISA KIDD HUNT TREASURER 2.00
Officer Director
$0 $0 $0
KEVIN BAILEY DIRECTOR 1.00
Director
$0 $0 $0
MATT BENCHENER DIRECTOR (AS OF 11/2023) 1.00
Director
$0 $0 $0
ALTHEA BROWN DIRECTOR (AS OF 04/2024) 1.00
Director
$0 $0 $0
LIBBY CANTRILL DIRECTOR 1.00
Director
$0 $0 $0
SAMARA COHEN DIRECTOR 1.00
Director
$0 $0 $0
MICHAEL DURBIN DIRECTOR (AS OF 01/2024) 1.00
Director
$0 $0 $0
KATIE FALLON DIRECTOR 1.00
Director
$0 $0 $0
ANN FOGARTY DIRECTOR (AS OF 11/2023) 1.00
Director
$0 $0 $0
SOL GINDI DIRECTOR 1.00
Director
$0 $0 $0
BRENT GLEDHILL DIRECTOR (AS OF 11/2023) 1.00
Director
$0 $0 $0
GARY HALL DIRECTOR 1.00
Director
$0 $0 $0
NAUREEN HASSAN DIRECTOR (THRU 01/2024) 1.00
Director
$0 $0 $0
ROBERT HAWLEY DIRECTOR (THRU 10/2024) 1.00
Director
$0 $0 $0
GARY KANE DIRECTOR 1.00
Director
$0 $0 $0
MICHAEL KISBER DIRECTOR 1.00
Director
$0 $0 $0
DAVID LEFKOWITZ DIRECTOR 1.00
Director
$0 $0 $0
JACQUELINE LICALZI DIRECTOR (AS OF 01/2024) 1.00
Director
$0 $0 $0
LARRY MARTINEZ DIRECTOR 1.00
Director
$0 $0 $0
CHARLOTTE MCLAUGHLIN DIRECTOR (THRU 11/2023) 1.00
Director
$0 $0 $0
CRAIG MESSINGER DIRECTOR 1.00
Director
$0 $0 $0
CHANCE MIMS DIRECTOR (AS OF 11/2023) 1.00
Director
$0 $0 $0
THOMAS PLUTA DIRECTOR (AS OF 11/2023) 1.00
Director
$0 $0 $0
ROBERT POPOWSKI DIRECTOR (THRU 10/2023) 1.00
Director
$0 $0 $0
DOUGLAS PREISER DIRECTOR 1.00
Director
$0 $0 $0
JAMIE PRICE DIRECTOR (THRU 01/2024) 1.00
Director
$0 $0 $0
SHAWN QUANT DIRECTOR 1.00
Director
$0 $0 $0
SAMUEL RAMIREZ JR DIRECTOR 1.00
Director
$0 $0 $0
GARY RAPP DIRECTOR (AS OF 11/2023) 1.00
Director
$0 $0 $0
PAUL REILLY DIRECTOR 1.00
Director
$0 $0 $0
BRENDAN REILLY DIRECTOR 1.00
Director
$0 $0 $0
JOHN FW ROGERS DIRECTOR 1.00
Director
$0 $0 $0
JEFFREY ROSEN DIRECTOR (THRU 11/2023) 1.00
Director
$0 $0 $0
CLAIRE SANTANIELLO DIRECTOR 1.00
Director
$0 $0 $0
ANDY SAPERSTEIN DIRECTOR (THRU 01/2024) 1.00
Director
$0 $0 $0
PETER SCHNEIDER DIRECTOR (THRU 11/2023) 1.00
Director
$0 $0 $0
KABIR SETHI DIRECTOR (THRU 04/2024) 1.00
Director
$0 $0 $0
MARK STEFFENSEN DIRECTOR (THRU 05/2024) 1.00
Director
$0 $0 $0
JOSEPH E SWEENEY DIRECTOR 1.00
Director
$0 $0 $0
JOHN TAFT DIRECTOR 1.00
Director
$0 $0 $0
RYAN TAYLOR DIRECTOR 1.00
Director
$0 $0 $0
JOHN VACCARO DIRECTOR 1.00
Director
$0 $0 $0
THOMAS WIPF DIRECTOR (AS OF 01/2024) 1.00
Director
$0 $0 $0
KASHIF ZAFAR DIRECTOR 1.00
Director
$0 $0 $0
JOSEPH SEIDEL COO 40.00
Officer
$1,333,852 $99,421 $1,433,273
DAVID B KRASNER CFO & CAO 40.00
Officer
$759,703 $96,851 $856,554
CHERYL L CRISPEN EXECUTIVE VICE PRESIDENT 40.00
Officer
$638,408 $99,156 $737,564
SALVATORE CHIARELLI EXECUTIVE VICE PRESIDENT 40.00
Officer
$460,019 $77,526 $537,545
SAIMA AHMED EVP & GEN. COUNSEL 40.00
Officer
$930,090 $74,802 $1,004,892
JOSH WILSUSSEN EXECUTIVE VICE PRESIDENT 40.00
Officer
$742,944 $93,763 $836,707
ROBERT TOOMEY MANAGING DIRECTOR 40.00
Highest
$587,357 $98,795 $686,152
LISA BLEIER MANAGING DIRECTOR 40.00
Highest
$553,695 $94,664 $648,359
CARTER K MCDOWELL MANAGING DIRECTOR 40.00
Highest
$537,598 $62,042 $599,640
KEVIN CARROLL MANAGING DIRECTOR 40.00
Highest
$550,719 $41,463 $592,182
LINDSEY KELJO MANAGING DIRECTOR 40.00
Highest
$588,834 $77,614 $666,448
IRA D HAMMERMAN - FORMER EVP & GENERAL COUNSEL 0.00
$172,053 $0 $172,053
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
2024 $61,779,060 $62,259,281 $80,889,764 $-480,221
2023 $60,293,967 $57,479,959 $72,929,787 $2,814,008
2022 $54,768,620 $53,354,953 $45,548,628 $1,413,667
2021 $47,657,181 $49,290,473 $42,827,387 $-1,633,292
2020 $45,398,899 $50,328,414 $44,078,460 $-4,929,515
2019 $57,987,376 $57,337,717 $53,179,679 $649,659
2018 $60,335,877 $61,329,046 $50,021,840 $-993,169
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