Financial Industry Regulatory Authority Inc

Washington, DC
Tax-exempt since June 1937
EIN: 53-0088710

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Type of Nonprofit

Designated as a 501(c)6 Business leagues, chambers of commerce, real estate boards, etc, created for the improvement of business conditions.

Donations to this organization are not tax deductible.

Details

According to its Dec. 2022 tax filing, this nonprofit:

Provided first-class or charter travel

Organization provided first-class or charter travel to key employees or officers. Details are reported on Schedule J.

Reported conflict of interest transactions

Organizations must report loans, grants or business transactions with interested parties, which may include key employees and officers, their family members and any businesses in which they hold a controlling interest. These transactions must be reported on Schedule L.

Revenue

$1.73B (2022)

Expenses

$2.16B (2022)

Total Assets

$2.75B (2022)

Total Liabilities

$1.07B (2022)

Source: Form 990 tax filings from 2011 to 2022

Tax Filings by Year

Form 990 is an information return that most organizations claiming federal tax-exempt status must file yearly with the IRS. Nonprofit Explorer has IRS digitized Form 990 data for filings processed in 2012 and later. If this organization filed an amended return, it may not be reflected below. Duplicate download links may indicate a resubmission or amendment to this organization's original return. Form 990 data is from the IRS.

Fiscal Year Ending Dec.
2022

Revenue

$1,730,554,890

Expenses

$2,160,421,774

Net Income

-$429,866,884

Net Assets

$1,677,867,651

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$1,173,993,109	67.8%
Investment Income	$35,276,188	2.0%
Bond Proceeds	$0
Royalties	$108,181	0.0%
Rental Property Income	$0
Net Fundraising	$0
Sales of Assets	-$34,304,809
Net Inventory Sales	$0
Other Revenue	$555,482,221	32.1%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$16,844,998	0.8%
Professional Fundraising Fees	$0
Other Salaries and Wages	$677,366,419	31.4%

Assets/Debt
Total Assets	$2,751,162,902
Total Liabilities	$1,073,295,251
Net Assets	$1,677,867,651

Provided first-class or charter travel

Reported conflict of interest transactions

Compensation

Key Employees and Officers	Compensation	Related	Other
Robert W Cook (President & Ceo)	$4,062,829	$0	$213,888
Todd T Diganci (Executive Vice President & Cfao)	$2,146,292	$0	-$1,370,453
Steven J Randich (Executive Vice President & Cio)	$1,390,581	$0	$324,633
Robert L D Colby (Evp And Chief Legal Officer)	$1,313,006	$0	$82,151
Susan Tibbs (Senior Vice President)	$1,264,823	$0	$74,901
Marcia E Asquith (Evp Board & External Relations)	$1,199,500	$0	$59,906
Stephanie Dumont (Executive Vice President)	$1,174,147	$0	$58,128
Jon Kroeper (Executive Vice President)	$1,085,455	$0	$86,462
Tigran Khrimian (Senior Vice President)	$1,067,376	$0	$79,388
Gregory Ruppert (Executive Vice President)	$1,054,437	$0	$190,927
Rainia L Washington (Executive Vice President)	$1,028,998	$0	$216,210
Jessica Hopper (Executive Vice President)	$986,749	$0	$183,049
William J Wollman (Executive Vice President)	$962,612	$0	$59,772
Karl Brock (Senior Vice President)	$928,869	$0	$68,324
Jonathan S Sokobin (Executive Vice President)	$860,654	$0	$93,556
Bari M Havlik (Executive Vice President)	$845,871	$0	$165,537
Nathaniel Stankard (Executive Vice President)	$698,528	$0	$133,394
Eric W Noll (Chairperson As Of 8/20/22)	$143,187	$0	$0
Lance F Drummond (Board Member)	$120,687	$0	$0
Eileen K Murray (Chairperson Thru 8/19/22)	$117,495	$0	$0
John B Ehnes (Board Member)	$113,187	$0	$0
Timothy C Scheve (Board Member)	$113,187	$0	$0
Camille M Busette (Board Member)	$112,903	$0	$0
Maureen Jensen (Board Member)	$103,812	$0	$0
James Nagengast (Board Member)	$100,687	$0	$0
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990

Filed on Nov. 15, 2023

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Fiscal Year Ending Dec.
2021

Revenue

$1,418,364,485

Expenses

$1,637,855,595

Net Income

-$219,491,110

Net Assets

$1,880,540,517

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$693,107,319	48.9%
Investment Income	$21,455,020	1.5%
Bond Proceeds	$0
Royalties	$125,828	0.0%
Rental Property Income	$198,728	0.0%
Net Fundraising	$0
Sales of Assets	$130,465,417	9.2%
Net Inventory Sales	$0
Other Revenue	$573,012,173	40.4%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$18,737,889	1.1%
Professional Fundraising Fees	$0
Other Salaries and Wages	$610,593,394	37.3%

Assets/Debt
Total Assets	$2,420,287,162
Total Liabilities	$539,746,645
Net Assets	$1,880,540,517

Provided first-class or charter travel

Reported conflict of interest transactions

Compensation

Key Employees and Officers	Compensation	Related	Other
Robert W Cook (President & Ceo)	$3,753,882	$0	$417,314
Gregory Raymond (Senior Vice President)	$2,155,257	$0	$232,724
Steven J Randich (Executive Vice President & Cio)	$1,634,216	$0	$193,467
Michael G Rufino (Executive Vice President)	$1,512,466	$0	$182,116
Bari M Havlik (Executive Vice President)	$1,473,561	$0	$68,199
Todd T Diganci (Executive Vice President & Cfao)	$1,365,827	$0	$141,453
Robert L D Colby (Evp And Chief Legal Officer)	$1,218,226	$0	$74,476
Jessica Hopper (Executive Vice President)	$1,142,290	$0	$90,120
Gene G Demaio (Executive Vice President)	$1,000,709	$0	$81,964
Richard W Berry (Executive Vice President)	$984,738	$0	$87,425
Marcia E Asquith (Evp Board & External Relations)	$881,386	$0	$134,302
Jon Kroeper (Executive Vice President)	$856,294	$0	$176,015
Rainia L Washington (Executive Vice President)	$836,830	$0	$199,290
Gregory Ruppert (Executive Vice President)	$802,032	$0	$158,274
Nathaniel Stankard (Senior Advisor)	$790,794	$0	$70,054
Stephanie Dumont (Executive Vice President)	$648,461	$0	$201,153
Jonathan S Sokobin (Senior Vice President)	$619,763	$0	$144,789
Eileen K Murray (Chairperson)	$145,653	$0	$0
Lance F Drummond (Board Member)	$108,773	$0	$0
John B Ehnes (Board Member)	$102,885	$0	$0
Hillary A Sale (Board Member)	$101,273	$0	$0
Timothy C Scheve (Board Member)	$100,972	$0	$0
Eric W Noll (Board Member)	$97,752	$0	$0
Camille M Busette (Board Member)	$95,972	$0	$0
Linde Murphy (Board Member)	$93,390	$0	$0
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990

Filed on Nov. 15, 2022

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Fiscal Year Ending Dec.
2020

Revenue

$1,763,233,323

Expenses

$2,123,473,358

Net Income

-$360,240,035

Net Assets

$1,450,288,556

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$1,231,340,295	69.8%
Investment Income	$24,723,515	1.4%
Bond Proceeds	$0
Royalties	$138,327	0.0%
Rental Property Income	$121,531	0.0%
Net Fundraising	$0
Sales of Assets	-$49,490,687
Net Inventory Sales	$0
Other Revenue	$556,400,342	31.6%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$17,264,880	0.8%
Professional Fundraising Fees	$0
Other Salaries and Wages	$567,362,782	26.7%

Assets/Debt
Total Assets	$2,454,852,715
Total Liabilities	$1,004,564,159
Net Assets	$1,450,288,556

Provided first-class or charter travel

Reported conflict of interest transactions

Compensation

Key Employees and Officers	Compensation	Related	Other
Robert W Cook (President & Ceo)	$2,546,014	$0	$573,549
Cameron K Funkhouser (Executive Vice President)	$2,521,536	$0	$667,607
Thomas M Selman (Executive Vice President)	$2,427,700	$0	$26,338
Todd T Diganci (Executive Vice President & Cfao)	$1,632,643	$0	$99,982
Steven J Randich (Executive Vice President & Cio)	$1,478,133	$0	$176,534
Robert Ld Colby (Evp And Chief Legal Officer)	$1,193,369	$0	$49,662
Bari M Havlik (Executive Vice President)	$1,140,073	$0	$172,788
Alton Jones (Senior Vice President)	$1,052,002	$0	$42,444
Robert L Wood (Senior Vice President)	$876,431	$0	$295,547
Thomas R Gira (Executive Vice President)	$870,774	$0	$626,307
Stephen M Schoeneman (Senior Vice President)	$870,162	$0	$25,484
Thomas Nelli (Senior Vice President)	$852,410	$0	$33,317
Marcia E Asquith (Evp Board & External Relations)	$844,170	$0	$252,546
Jessica Hopper (Executive Vice President)	$718,355	$0	$256,160
Jonathan S Sokobin (Senior Vice President)	$595,433	$0	$140,854
Nathaniel Stankard (Senior Advisor)	$548,688	$0	$118,587
Susan M Schroeder (Executive Vice President)	$278,945	$0	$2,635
Rainia L Washington (Executive Vice President)	$189,009	$0	$92,039
Eileen K Murray (Chairperson As Of 8/20)	$132,499	$0	$0
William H Heyman (Chairman Thru 8/20)	$111,267	$0	$0
John B Ehnes (Board Member)	$100,624	$0	$0
Kathleen A Murphy (Board Member)	$100,624	$0	$0
Lance F Drummond (Board Member)	$99,374	$0	$0
Hillary A Sale (Board Member)	$95,624	$0	$0
Timothy C Scheve (Board Member)	$95,624	$0	$0
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990

Filed on Nov. 15, 2021

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Fiscal Year Ending Dec.
2019

Revenue

$1,316,323,993

Expenses

$1,541,083,655

Net Income

-$224,759,662

Net Assets

$1,492,368,550

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$665,509,418	50.6%
Investment Income	$33,003,909	2.5%
Bond Proceeds	$0
Royalties	$133,000	0.0%
Rental Property Income	$287,677	0.0%
Net Fundraising	$0
Sales of Assets	$49,542,476	3.8%
Net Inventory Sales	$0
Other Revenue	$567,847,513	43.1%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$19,866,552	1.3%
Professional Fundraising Fees	$0
Other Salaries and Wages	$579,462,964	37.6%

Assets/Debt
Total Assets	$2,248,066,636
Total Liabilities	$755,698,086
Net Assets	$1,492,368,550

Provided first-class or charter travel

Reported conflict of interest transactions

Compensation

Key Employees and Officers	Compensation	Related	Other
Robert W Cook (President & Ceo)	$3,394,843	$0	$253,467
Todd T Diganci (Executive Vice President & Cfao)	$1,284,111	$0	$1,379,082
James Price (Senior Vice President)	$1,172,832	$0	$456,832
Carlo V Di Florio (Executive Vice President)	$1,156,199	$0	$68,034
Robert Ld Colby (Evp And Chief Legal Officer)	$1,110,910	$0	$52,382
Steven J Randich (Executive Vice President & Cio)	$1,080,990	$0	$270,608
Marcia E Asquith (Evp Board & External Relations)	$1,062,265	$0	$227,038
Michael G Rufino (Executive Vice President)	$1,034,513	$0	$197,814
William J Wollman (Executive Vice President)	$995,977	$0	$231,361
Jon Kroeper (Executive Vice President)	$988,950	$0	$169,082
Bari M Havlik (Executive Vice President)	$959,904	$0	$170,539
Thomas R Gira (Executive Vice President)	$929,328	$0	$971,408
Tracy B Johnson (Senior Vice President)	$891,479	$0	$31,967
Susan M Schroeder (Executive Vice President & Cfao)	$867,437	$0	$160,291
Thomas Drogan (Senior Vice President)	$818,147	$0	$157,556
Jonathan S Sokobin (Senior Vice President)	$735,485	$0	$85,746
Thomas M Selman (Executive Vice President)	$714,521	$0	$1,369,669
Stephen M Schoeneman (Senior Vice President)	$679,437	$0	$582,763
Jessica Hopper (Executive Vice President)	$519,392	$0	$229,141
Nathaniel Stankard (Senior Advisor)	$496,252	$0	$114,848
William H Heyman (Chairman)	$141,838	$0	$0
Elisse B Walter (Board Member)	$101,160	$0	$0
Joshua S Levine (Board Member)	$100,707	$0	$0
Susan Wolburgh Jenah (Board Member)	$100,676	$0	$0
Kathleen A Murphy (Board Member)	$100,360	$0	$0
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990

Filed on Nov. 16, 2020

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Fiscal Year Ending Dec.
2018

Revenue

$1,246,962,010

Expenses

$1,407,556,901

Net Income

-$160,594,891

Net Assets

$1,551,230,656

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$629,713,239	50.5%
Investment Income	$32,569,862	2.6%
Bond Proceeds	$0
Royalties	$170,472	0.0%
Rental Property Income	$263,128	0.0%
Net Fundraising	$0
Sales of Assets	$16,354,236	1.3%
Net Inventory Sales	$0
Other Revenue	$567,891,073	45.5%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$13,763,785	1.0%
Professional Fundraising Fees	$0
Other Salaries and Wages	$523,481,813	37.2%

Assets/Debt
Total Assets	$2,115,247,106
Total Liabilities	$564,016,450
Net Assets	$1,551,230,656

Provided first-class or charter travel

Reported conflict of interest transactions

Compensation

Key Employees and Officers	Compensation	Related	Other
Robert W Cook (President & Ceo)	$2,358,157	$0	$522,215
Susan F Axelrod (Executive Vice President)	$2,350,790	$0	$26,111
Daniel Sibears Thru 123017 (Executive Vice President)	$1,552,639	$0	$1
Todd T Diganci (Executive Vice President/Cfao)	$1,424,690	$0	$149,244
Steven J Randich (Executive Vice President & Cio)	$1,379,073	$0	$171,260
Robert Ld Colby (Evp And Chief Legal Officer)	$1,047,722	$0	$74,967
Thomas R Gira (Executive Vice President)	$866,165	$0	$57,515
Susan M Schroeder (Executive Vice President)	$806,717	$0	$158,621
Richard W Berry (Executive Vice President)	$803,556	$0	$52,983
Gene G Demaio (Executive Vice President)	$761,904	$0	$81,083
Cameron K Funkhouser (Executive Vice President)	$758,424	$0	$61,412
Marcia E Asquith (Evp Board & External Relations)	$750,633	$0	$149,415
Michael G Rufino (Executive Vice President)	$742,261	$0	$116,378
William J Wollman (Executive Vice President)	$731,817	$0	$134,576
Thomas M Selman (Executive Vice President)	$673,162	$0	$41,935
Carlo V Diflorio (Executive Vice President)	$667,983	$0	$175,648
Stephen M Schoeneman (Senior Vice President)	$639,452	$0	$77,481
Tracy B Johnson (Senior Vice President)	$591,174	$0	$100,911
Jonathan S Sokobin (Senior Vice President)	$533,177	$0	$133,775
Bari M Havlik As Of 43018 (Executive Vice President)	$492,135	$0	$55,544
William H Heyman (Chairman)	$118,684	$0	$0
Leslie F Seidman (Board Member)	$98,684	$0	$0
Rochelle Lazarus (Board Member)	$93,684	$0	$0
Elisse B Walter (Board Member)	$91,530	$0	$0
Susan Wolburgh Jenah (Board Member)	$90,859	$0	$0
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990

Filed on Nov. 15, 2019

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Fiscal Year Ending Dec.
2017

Revenue

$1,307,685,653

Expenses

$1,444,708,072

Net Income

-$137,022,419

Net Assets

$1,607,190,376

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$647,868,600	49.5%
Investment Income	$24,484,935	1.9%
Bond Proceeds	$0
Royalties	$144,351	0.0%
Rental Property Income	$231,989	0.0%
Net Fundraising	$0
Sales of Assets	$63,985,787	4.9%
Net Inventory Sales	$0
Other Revenue	$570,969,991	43.7%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$14,166,556	1.0%
Professional Fundraising Fees	$0
Other Salaries and Wages	$519,581,650	36.0%

Assets/Debt
Total Assets	$2,264,413,001
Total Liabilities	$657,222,625
Net Assets	$1,607,190,376

Provided first-class or charter travel

Reported conflict of interest transactions

Compensation

Key Employees and Officers	Compensation	Related	Other
Todd T Diganci (Executive Vice President/Cfao)	$1,291,897	$0	$185,458
Steven A Joachim (Executive Vice President)	$1,251,365	$0	$16,631
Robert L D Colby (Evp And Chief Legal Officer)	$1,236,628	$0	$64,515
Steven J Randich (Evp & Cio)	$1,079,111	$0	$273,937
Robert W Cook (President & Ceo)	$1,008,615	$0	$442,908
Richard G Ketchum Fmr (Chairman & Ceo)	$937,500	$0	$3,650
Thomas R Gira (Executive Vice President)	$913,435	$0	$105,822
Susan F Axelrod (Executive Vice President)	$910,537	$0	$1,765,406
Michael Solomon (Senior Vice President)	$881,300	$0	$76,766
Daniel Sibears (Executive Vice President)	$832,070	$0	$143,310
Robert L Wood (Senior Vice President)	$802,203	$0	$97,697
Cameron Funkhouser (Executive Vice President)	$790,937	$0	$123,526
Michael Rufino (Executive Vice President)	$767,892	$0	$185,564
Susan Schroeder (Executive Vice President)	$763,590	$0	$74,707
Carlo Di Florio (Executive Vice President)	$716,890	$0	$184,908
Thomas M Selman (Executive Vice President)	$706,695	$0	$105,937
Marcia E Asquith (Evp And Corporate Secretary)	$703,414	$0	$137,476
Stephen M Schoeneman (Senior Vice President)	$650,792	$0	$120,405
Tracy B Johnson (Senior Vice President)	$619,485	$0	$98,762
Jonathan S Sokobin (Senior Vice President)	$525,371	$0	$132,791
Leslie F Seidman (Board Member)	$95,834	$0	$0
Elisse B Walter (Board Member)	$88,691	$0	$0
Rochelle Lazarus (Board Member)	$88,382	$0	$0
Carol Anthony John Davidson (Board Member)	$87,697	$0	$0
Luis M Viceira (Board Member)	$85,982	$0	$0
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990

Filed on Nov. 15, 2018

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Fiscal Year Ending Dec.
2016

Revenue

$1,271,595,244

Expenses

$1,433,945,024

Net Income

-$162,349,780

Net Assets

$1,622,738,275

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$604,983,103	47.6%
Investment Income	$31,614,134	2.5%
Bond Proceeds	$0
Royalties	$2,383,518	0.2%
Rental Property Income	$207,298	0.0%
Net Fundraising	$0
Sales of Assets	$36,208,891	2.8%
Net Inventory Sales	$0
Other Revenue	$596,198,300	46.9%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$14,434,421	1.0%
Professional Fundraising Fees	$0
Other Salaries and Wages	$522,376,245	36.4%

Assets/Debt
Total Assets	$2,245,131,156
Total Liabilities	$622,392,881
Net Assets	$1,622,738,275

Provided first-class or charter travel

Reported conflict of interest transactions

Compensation

Key Employees and Officers	Compensation	Related	Other
Thomas R Gira (Executive Vice President)	$2,834,760	$0	$96,780
Richard G Ketchum (Chairman & Ceo Thru 8/14/16)	$2,679,262	$0	$86,547
F Gregory Ahern (Executive Vice President)	$1,372,916	$0	$60,107
Todd T Diganci (Executive Vice President & Cfo)	$1,340,176	$0	$159,204
Susan F Axelrod (Executive Vice President)	$1,265,910	$0	$88,643
J Bradley Bennett (Executive Vice President)	$1,249,950	$0	$37,064
Steven A Joachim (Executive Vice President)	$1,078,536	$0	$113,852
Steven J Randich (Evp & Cio)	$1,073,056	$0	$179,732
Robert L D Colby (Evp And Chief Legal Officer)	$1,042,063	$0	$160,936
Michael Rufino (Executive Vice President)	$1,039,393	$0	$87,392
Carlo Di Florio (Executive Vice President)	$1,038,245	$0	$74,364
William Wollman (Executive Vice President)	$954,646	$0	$69,914
Robert Marchman (Executive Vice President)	$920,704	$0	$88,970
Stephen M Schoeneman (Senior Vice President)	$793,205	$0	$100,080
Tracy B Johnson (Senior Vice President)	$785,310	$0	$40,464
Marcia E Asquith (Evp And Corporate Secretary)	$738,994	$0	$83,536
Thomas M Selman (Executive Vice President)	$727,311	$0	$110,018
Jonathan S Sokobin (Senior Vice President)	$672,687	$0	$75,770
Robert W Cook (President & Ceo)	$348,888	$0	$93,424
John J Brennan (Chairman As Of 8/15/16)	$113,421	$0	$0
Carol Anthony John Davidson (Board Member)	$95,246	$0	$0
Rochelle Lazarus (Board Member)	$88,083	$0	$0
Elisse B Walter (Board Member)	$87,975	$0	$0
Leslie F Seidman (Board Member)	$87,863	$0	$0
Randal K Quarles (Board Member)	$86,911	$0	$0
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990

Filed on Nov. 13, 2017

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Fiscal Year Ending Dec.
2015

Revenue

$703,828,205

Expenses

$969,990,119

Net Income

-$266,161,914

Net Assets

$1,728,771,322

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$538,514,177	76.5%
Investment Income	$28,188,876	4.0%
Bond Proceeds	$0
Royalties	$1,350,487	0.2%
Rental Property Income	$257,816	0.0%
Net Fundraising	$0
Sales of Assets	$24,040,584	3.4%
Net Inventory Sales	$0
Other Revenue	$111,476,265	15.8%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$13,419,273	1.4%
Professional Fundraising Fees	$0
Other Salaries and Wages	$174,937,227	18.0%

Assets/Debt
Total Assets	$2,171,652,984
Total Liabilities	$442,881,662
Net Assets	$1,728,771,322

Provided first-class or charter travel

Reported conflict of interest transactions

Compensation

Key Employees and Officers	Compensation	Related	Other
Richard G Ketchum (Chairman & Ceo)	$2,821,159	$0	$92,784
Steven J Randich (Executive Vp And Cio)	$1,380,697	$0	$66,508
Robert L D Colby (Evp And Chief Legal Officer)	$1,347,507	$0	$61,667
Todd T Diganci (Executive Vice President & Cfo)	$1,248,910	$0	$122,971
F Gregory Ahern (Executive Vice President)	$900,008	$0	$73,267
Steven A Joachim (Executive Vice President)	$879,199	$0	$201,753
Carlo Di Florio (Executive Vice President)	$779,848	$0	$172,152
Stephen M Schoeneman (Senior Vice President)	$607,487	$0	$137,432
Gregory B Raymond (Senior Vice President)	$599,773	$0	$88,262
Tracy B Johnson (Senior Vice President)	$599,044	$0	$93,234
Saman Far (Senior Vice President)	$595,890	$0	$95,599
Robert L Wood (Senior Vice President)	$595,218	$0	$122,134
Marcia E Asquith (Senior Vp And Corp Secretary)	$564,157	$0	$112,407
Jonathan S Sokobin (Senior Vice President)	$532,109	$0	$117,254
John J Brennan (Board Member)	$112,500	$0	$0
Carol Anthony John Davidson (Board Member)	$95,278	$0	$0
William H Heyman (Board Member)	$90,640	$0	$0
James D Weddle (Board Member)	$88,072	$0	$0
Rochelle Lazarus (Board Member)	$82,515	$0	$0
Elisse B Walter (Board Member)	$82,421	$0	$0
Mark W Cresap (Board Member)	$80,929	$0	$0
John W Schmidlin (Board Member)	$80,706	$0	$0
Robert Keenan (Board Member)	$80,580	$0	$0
Luis M Viceira (Board Member)	$80,415	$0	$0
Robert W Scully (Board Member)	$80,409	$0	$0
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990

Filed on Nov. 8, 2016

Primary tax return for a nonprofit’s activities, finances, and governance

View Filing

Schedules ▼

PDF XML

Fiscal Year Ending Dec.
2014

Revenue

$707,383,888

Expenses

$893,191,300

Net Income

-$185,807,412

Net Assets

$1,900,469,657

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$568,641,919	80.4%
Investment Income	$25,641,391	3.6%
Bond Proceeds	$0
Royalties	$1,464,091	0.2%
Rental Property Income	$0
Net Fundraising	$0
Sales of Assets	$4,349,911	0.6%
Net Inventory Sales	$0
Other Revenue	$107,286,576	15.2%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$14,477,243	1.6%
Professional Fundraising Fees	$0
Other Salaries and Wages	$158,612,400	17.8%

Assets/Debt
Total Assets	$2,344,683,770
Total Liabilities	$444,214,113
Net Assets	$1,900,469,657

Provided first-class or charter travel

Compensation

Key Employees and Officers	Compensation	Related	Other
Richard G Ketchum (Chairman & Ceo)	$2,812,798	$0	$81,030
Gregory B Raymond (Senior Vice President)	$1,261,401	$0	$73,772
Todd T Diganci (Executive Vp And Cfo)	$1,221,511	$0	$67,258
Steven J Randich (Executive Vp And Cio)	$1,023,308	$0	$178,805
Robert L D Colby (Evp And Chief Legal Officer)	$1,012,305	$0	$155,561
F Gregory Ahern (Executive Vice President)	$962,714	$0	$65,010
Carlo Di Florio (Executive Vice President)	$874,639	$0	$179,321
Steven A Joachim (Executive Vice President)	$850,371	$0	$108,355
Cathy Mattax (Senior Vice President)	$841,300	$0	$64,221
Robert L Wood (Senior Vice President)	$777,177	$0	$62,803
Karen J Sancilio (Senior Vice President)	$631,781	$0	$174,095
Robert L Gatrell (Senior Vice President)	$609,460	$0	$42,186
Stephen M Schoenemen (Senior Vice President)	$590,767	$0	$128,467
Tracy B Johnson (Senior Vice President)	$582,548	$0	$92,142
Marcia E Asquith (Senior Vp And Corp Secretary)	$552,315	$0	$102,098
Jonathan S Sokobin (Senior Vice President)	$411,125	$0	$102,440
Martin P Colburn (Executive Vice President)	$141,556	$0	$0
John J Brennan (Board Member)	$113,511	$0	$0
James E Burton (Board Member)	$110,688	$0	$0
William H Heyman (Board Member)	$90,577	$0	$0
James D Weddle (Board Member)	$87,933	$0	$0
Richard S Pechter (Board Member)	$87,771	$0	$0
Carol Anthony John Davidson (Board Member)	$83,830	$0	$0
W Dennis Ferguson (Board Member)	$82,667	$0	$0
John W Schmidlin (Board Member)	$80,785	$0	$0
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990

Filed on Nov. 11, 2015

Primary tax return for a nonprofit’s activities, finances, and governance

View Filing

Schedules ▼

PDF XML

Fiscal Year Ending Dec.
2013

Revenue

$664,072,209

Expenses

$783,423,547

Net Income

-$119,351,338

Net Assets

$1,784,876,287

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$478,422,829	72.0%
Investment Income	$24,808,318	3.7%
Bond Proceeds	$0
Royalties	$1,549,189	0.2%
Rental Property Income	$0
Net Fundraising	$0
Sales of Assets	$40,799,235	6.1%
Net Inventory Sales	$0
Other Revenue	$118,492,638	17.8%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$11,423,922	1.5%
Professional Fundraising Fees	$0
Other Salaries and Wages	$171,984,085	22.0%

Assets/Debt
Total Assets	$2,208,535,467
Total Liabilities	$423,659,180
Net Assets	$1,784,876,287

Provided first-class or charter travel

Reported conflict of interest transactions

Compensation

Key Employees and Officers	Compensation	Related	Other
Martin P Colburn (Executive Vice President)	$4,221,296	$0	$18,566
Richard G Ketchum (Chairman & Ceo)	$2,551,022	$0	$72,734
Todd T Diganci (Executive Vp And Cfo)	$1,178,423	$0	$63,965
Steven A Joachim (Executive Vice President)	$854,659	$0	$100,847
Robert L D Colby (Senior Executive Vice Pres)	$802,999	$0	$145,421
Stephen M Schoeneman (Senior Vice President)	$794,807	$0	$72,167
Tracy B Johnson (Senior Vice President)	$702,895	$0	$36,194
F Gregory Ahern (Executive Vice President)	$666,950	$0	$142,197
Marcia E Asquith (Senior Vp And Corp Secretary)	$660,939	$0	$58,263
Angela A Posillico (Senior Vice President)	$637,963	$0	$60,451
Maurice Chavarria (Senior Vice President)	$621,900	$0	$62,997
Robert L Wood (Senior Vice President)	$565,232	$0	$106,084
Gregory B Raymond (Senior Vice President)	$556,030	$0	$156,157
Karen J Sancilio (Senior Vice President)	$510,098	$0	$118,288
Howard M Schloss (Executive Vice President)	$507,385	$0	$4,147
Steven J Randich (Executive Vp And Cio)	$394,073	$0	$120,752
T Grant Callery (Exec Vp And General Counsel)	$280,926	$0	$2,500
Carlo Di Florio (Executive Vice President)	$216,491	$0	$46,233
Jonathan S Sokobin (Senior Vice President)	$187,063	$0	$30,363
John J Brennan (Board Member)	$94,800	$0	$0
James E Burton (Board Member)	$86,818	$0	$0
Richard S Pechter (Board Member)	$76,477	$0	$0
James D Weddle (Board Member)	$73,051	$0	$0
Harvey J Goldschmid (Board Member)	$72,500	$0	$0
William H Heyman (Board Member)	$72,482	$0	$0
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990

Filed on Nov. 17, 2014

Primary tax return for a nonprofit’s activities, finances, and governance

View Filing

Schedules ▼

PDF XML

Fiscal Year Ending Dec.
2012

Revenue

$750,425,103

Expenses

$727,318,480

Net Income

$23,106,623

Net Assets

$1,719,404,177

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$461,159,958	61.5%
Investment Income	$34,001,606	4.5%
Bond Proceeds	$0
Royalties	$1,645,194	0.2%
Rental Property Income	$0
Net Fundraising	$0
Sales of Assets	$15,474,433	2.1%
Net Inventory Sales	$0
Other Revenue	$238,143,912	31.7%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$12,714,092	1.7%
Professional Fundraising Fees	$0
Other Salaries and Wages	$110,794,522	15.2%

Assets/Debt
Total Assets	$2,152,653,604
Total Liabilities	$433,249,427
Net Assets	$1,719,404,177

990

Primary tax return for a nonprofit’s activities, finances, and governance

PDF

Fiscal Year Ending Dec.
2011

Revenue

$734,882,331

Expenses

$703,396,560

Net Income

$31,485,771

Net Assets

$1,742,774,772

Notable Sources of Revenue		Percent of Total Revenue
Contributions	$0
Program Services	$452,040,423	61.5%
Investment Income	$24,302,369	3.3%
Bond Proceeds	$0
Royalties	$1,705,812	0.2%
Rental Property Income	$0
Net Fundraising	$0
Sales of Assets	$20,682,294	2.8%
Net Inventory Sales	$0
Other Revenue	$236,151,433	32.1%

Notable Expenses		Percent of Total Expenses
Executive Compensation	$12,494,439	1.8%
Professional Fundraising Fees	$0
Other Salaries and Wages	$111,737,713	15.9%

Assets/Debt
Total Assets	$2,158,907,693
Total Liabilities	$416,132,921
Net Assets	$1,742,774,772

990

Primary tax return for a nonprofit’s activities, finances, and governance

PDF

PDF (2 of 2)

Fiscal Year Ending Dec.
2005

Extracted financial data is not available for the forms filed in this tax period, but Form 990 documents are available for download.

990

Primary tax return for a nonprofit’s activities, finances, and governance

PDF

Fiscal Year Ending Dec.
2004

Extracted financial data is not available for the forms filed in this tax period, but Form 990 documents are available for download.

990

Primary tax return for a nonprofit’s activities, finances, and governance

PDF

About This Data

Nonprofit Explorer includes summary data for nonprofit tax returns and full Form 990 documents, in both PDF and digital formats.

The summary data contains information processed by the IRS during the 2012-2019 calendar years; this generally consists of filings for the 2011-2018 fiscal years, but may include older records. This data release includes only a subset of what can be found in the full Form 990s.

In addition to the raw summary data, we link to PDFs and digital copies of full Form 990 documents wherever possible. This consists of separate releases by the IRS of Form 990 documents processed by the agency, which we update regularly.

We also link to copies of audits nonprofit organizations that spent $750,000 or more in Federal grant money in a single fiscal year since 2016. These audits are copied from the Federal Audit Clearinghouse.

Which Organizations Are Here?

Every organization that has been recognized as tax exempt by the IRS has to file Form 990 every year, unless they make less than $200,000 in revenue and have less than $500,000 in assets, in which case they have to file form 990-EZ. Organizations making less than $50,000 don’t have to file either form but do have to let the IRS they’re still in business via a Form 990N "e-Postcard."

Nonprofit Explorer has organizations claiming tax exemption in each of the 27 subsections of the 501(c) section of the tax code, and which have filed a Form 990, Form 990EZ or Form 990PF. Taxable trusts and private foundations that are required to file a form 990PF are also included. Small organizations filing a Form 990N "e-Postcard" are not included in this data.

Types of Nonprofits

There are 27 nonprofit designations based on the numbered subsections of section 501(c) of the tax code. See the list »

Get the Data

For those interested in acquiring the original data from the source, here’s where our data comes from:

Raw filing data. Includes EINs and summary financials as structured data.
Exempt Organization profiles. Includes organization names, addresses, etc. You can merge this with the raw filing data using EIN numbers.
Form 990 documents. Prior to 2017, these documents were obtained and processed by Public.Resource.org and ProPublica. Bulk PDF downloads since 2017 are available from the IRS.
Form 990 documents as XML files. Includes complete filing data (financial details, names of officers, tax schedules, etc.) in machine-readable format. Only available for electronically filed documents. Electronic data released prior to October 2021 is also available through Amazon Web Services.
Audits. PDFs of single or program-specific audits for nonprofit organizations that spent $750,000 or more in Federal grant money in a single fiscal year. Available for fiscal year 2015 and later.

API

The data powering this website is available programmatically, via an API. Read the API documentation »

By Andrea Suozzo, Alec Glassford and Ash Ngu, ProPublica, and Brandon Roberts, Special to ProPublica.
Design by Jeff Frankl. Additional development by Ken Schwencke, Mike Tigas, and Sisi Wei.

E-file viewer adapted from IRS e-File Viewer by Ben Getson. Code for scraping audit documents adapated from Govwiki.

Updated July 11, 2024

Financial Industry Regulatory Authority Inc

Organization summary

Type of Nonprofit

Details

Summary charts: organization finances over time

Revenue $1.73B (2022)

Expenses $2.16B (2022)

Total Assets $2.75B (2022)

Total Liabilities $1.07B (2022)

Tax Filings by Year

Fiscal Year Ending Dec. 2022

Extracted Financial Data

Extracted Financial Data from Form 990

Other

Compensation

Document Links

990

Fiscal Year Ending Dec. 2021

Extracted Financial Data

Extracted Financial Data from Form 990

Other

Compensation

Document Links

990

Fiscal Year Ending Dec. 2020

Extracted Financial Data

Extracted Financial Data from Form 990

Other

Compensation

Document Links

990

Fiscal Year Ending Dec. 2019

Extracted Financial Data

Extracted Financial Data from Form 990

Other

Compensation

Document Links

990

Fiscal Year Ending Dec. 2018

Extracted Financial Data

Extracted Financial Data from Form 990

Other

Compensation

Document Links

990

Fiscal Year Ending Dec. 2017

Extracted Financial Data

Extracted Financial Data from Form 990

Other

Compensation

Document Links

990

Fiscal Year Ending Dec. 2016

Extracted Financial Data

Extracted Financial Data from Form 990

Other

Compensation

Document Links

990

Fiscal Year Ending Dec. 2015

Extracted Financial Data

Extracted Financial Data from Form 990

Other

Compensation

Document Links

990

Fiscal Year Ending Dec. 2014

Extracted Financial Data

Extracted Financial Data from Form 990

Other

Compensation

Document Links

990

Fiscal Year Ending Dec. 2013

Extracted Financial Data

Extracted Financial Data from Form 990

Other

Compensation

Document Links

990

Revenue

$1.73B (2022)

Expenses

$2.16B (2022)

Total Assets

$2.75B (2022)

Total Liabilities

$1.07B (2022)

Fiscal Year Ending Dec.
2022

Fiscal Year Ending Dec.
2021

Fiscal Year Ending Dec.
2020

Fiscal Year Ending Dec.
2019

Fiscal Year Ending Dec.
2018

Fiscal Year Ending Dec.
2017

Fiscal Year Ending Dec.
2016

Fiscal Year Ending Dec.
2015

Fiscal Year Ending Dec.
2014

Fiscal Year Ending Dec.
2013

Fiscal Year Ending Dec.
2012

Fiscal Year Ending Dec.
2011

Fiscal Year Ending Dec.
2010

Fiscal Year Ending Dec.
2009

Fiscal Year Ending Dec.
2008

Fiscal Year Ending Dec.
2007

Fiscal Year Ending Dec.
2006

Fiscal Year Ending Dec.
2005

Fiscal Year Ending Dec.
2004