Financial Industry Regulatory Authority, Inc.

Washington, DC

Florida

Registered In

04/04/1988

Incorp. Date

Foreign

Registration Type

Delaware

Foreign Jurisdiction

Company Summary

Financial Industry Regulatory Authority, Inc. at 1735 K ST Nw, Washington, Dc 20006 lists Colby Robert of Washington, DC and Drummond Lance F of Charlotte, NC.

Overview

Registered In

Florida

Incorporation Date

04/04/1988

Company Type

Foreign Non-Profit

Status

Active

Registration Type

Foreign

Foreign Jurisdiction

Delaware

EIN

53-0088710

Email

*************@cscinfo.com

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People

Corporation Service Company Registered Agent	1201 HAYS ST, TALLAHASSEE, FL 32301
Colby Robert CHIE	1735 K ST NW, WASHINGTON, DC 20006
Drummond Lance F DIRE	14263 NOLEN LN, CHARLOTTE, NC 28277
Nagengast James D DIRE	Securities America, Inc, LA VISTA, NE 68128
Wollman Bill EVP	1735 K ST NW, WASHINGTON, DC 20006
Renner Robert A Seni	1735 K ST NW, WASHINGTON, DC 20006
Walsh Geraldine M SVP	1735 K ST NW, WASHINGTON, DC 20006

Showing 10 of 12 associates. Create a free account to view the complete list and historical changes.

Map & Locations

1735 K ST NW, WASHINGTON, DC 20006 View Map
9509 KEY WEST AVE, ROCKVILLE, MD 20850 (Mailing) View Map

Financials

Financial Information for Financial Industry Regulatory Authority, Inc.

Form 5500

FINRA

1735 K ST Nw, Washington, Dc 20006 (301) 590-6500 EIN:53-0088710 Plan Admin:Finra Pension/401(K) Plan Committee

Year	Plan Name	Participants BOY/EOY	Assets BOY/EOY
2022	Plan NameFINRA SAVINGS PLUS PLAN Plan #003 Participants BOY/EOY5,625 / 6,006 Assets BOY/EOY$2,044,460,173 / $1,789,959,309	2022	FINRA SAVINGS PLUS PLAN - Plan #003	5,625 / 6,006	$2,044,460,173 / $1,789,959,309
2022	Plan NameFINRA EMPLOYEES RETIREMENT PLAN Plan #001 Participants BOY/EOY2,410 / 2,351 Assets BOY/EOY$644,746,735 / $479,256,817	2022	FINRA EMPLOYEES RETIREMENT PLAN - Plan #001	2,410 / 2,351	$644,746,735 / $479,256,817
2022	Plan NameFINRA SEVERANCE PAY PLAN Plan #509 Participants BOY/EOY3,689 / 3,968 Assets BOY/EOY$0 / $0	2022	FINRA SEVERANCE PAY PLAN - Plan #509	3,689 / 3,968	$0 / $0
2022	Plan NameFINRA RETIREE MEDICAL PLAN Plan #508 Participants BOY/EOY371 / 395 Assets BOY/EOY$0 / $0	2022	FINRA RETIREE MEDICAL PLAN - Plan #508	371 / 395	$0 / $0
2022	Plan NameFINRA BENEFIT OPTIONS PROGRAM Plan #507 Participants BOY/EOY3,701 / 3,979 Assets BOY/EOY$0 / $0	2022	FINRA BENEFIT OPTIONS PROGRAM - Plan #507	3,701 / 3,979	$0 / $0
2021	Plan NameFINRA SAVINGS PLUS PLAN Plan #003 Participants BOY/EOY5,421 / 5,641 Assets BOY/EOY$1,730,800,150 / $2,044,460,173	2021	FINRA SAVINGS PLUS PLAN - Plan #003	5,421 / 5,641	$1,730,800,150 / $2,044,460,173
2021	Plan NameFINRA EMPLOYEES RETIREMENT PLAN Plan #001 Participants BOY/EOY2,476 / 2,410 Assets BOY/EOY$616,386,603 / $644,746,735	2021	FINRA EMPLOYEES RETIREMENT PLAN - Plan #001	2,476 / 2,410	$616,386,603 / $644,746,735
2021	Plan NameFINRA SEVERANCE PAY PLAN Plan #509 Participants BOY/EOY3,595 / 3,691 Assets BOY/EOY$0 / $0	2021	FINRA SEVERANCE PAY PLAN - Plan #509	3,595 / 3,691	$0 / $0
2021	Plan NameFINRA RETIREE MEDICAL PLAN Plan #508 Participants BOY/EOY340 / 371 Assets BOY/EOY$0 / $0	2021	FINRA RETIREE MEDICAL PLAN - Plan #508	340 / 371	$0 / $0
2021	Plan NameFINRA BENEFIT OPTIONS PROGRAM Plan #507 Participants BOY/EOY3,608 / 3,701 Assets BOY/EOY$0 / $0	2021	FINRA BENEFIT OPTIONS PROGRAM - Plan #507	3,608 / 3,701	$0 / $0
2020	Plan NameFINRA SAVINGS PLUS PLAN Plan #003 Participants BOY/EOY5,171 / 5,432 Assets BOY/EOY$1,481,785,461 / $1,730,800,150	2020	FINRA SAVINGS PLUS PLAN - Plan #003	5,171 / 5,432	$1,481,785,461 / $1,730,800,150
2020	Plan NameFINRA EMPLOYEES RETIREMENT PLAN Plan #001 Participants BOY/EOY2,599 / 2,476 Assets BOY/EOY$591,006,165 / $616,386,603	2020	FINRA EMPLOYEES RETIREMENT PLAN - Plan #001	2,599 / 2,476	$591,006,165 / $616,386,603
2020	Plan NameFINRA BENEFIT OPTIONS PROGRAM Plan #507 Participants BOY/EOY3,470 / 3,608 Assets BOY/EOY$0 / $0	2020	FINRA BENEFIT OPTIONS PROGRAM - Plan #507	3,470 / 3,608	$0 / $0
2020	Plan NameFINRA SEVERANCE PAY PLAN Plan #509 Participants BOY/EOY3,478 / 3,594 Assets BOY/EOY$0 / $0	2020	FINRA SEVERANCE PAY PLAN - Plan #509	3,478 / 3,594	$0 / $0
2020	Plan NameFINRA RETIREE MEDICAL PLAN Plan #508 Participants BOY/EOY313 / 340 Assets BOY/EOY$0 / $0	2020	FINRA RETIREE MEDICAL PLAN - Plan #508	313 / 340	$0 / $0
2019	Plan NameFINRA SAVINGS PLUS PLAN Plan #003 Participants BOY/EOY5,116 / 5,188 Assets BOY/EOY$1,176,048,407 / $1,481,785,461	2019	FINRA SAVINGS PLUS PLAN - Plan #003	5,116 / 5,188	$1,176,048,407 / $1,481,785,461
2019	Plan NameFINRA EMPLOYEES RETIREMENT PLAN Plan #001 Participants BOY/EOY2,659 / 2,599 Assets BOY/EOY$492,409,301 / $591,006,165	2019	FINRA EMPLOYEES RETIREMENT PLAN - Plan #001	2,659 / 2,599	$492,409,301 / $591,006,165
2019	Plan NameFINRA RETIREE MEDICAL PLAN Plan #508 Participants BOY/EOY295 / 313 Assets BOY/EOY$0 / $0	2019	FINRA RETIREE MEDICAL PLAN - Plan #508	295 / 313	$0 / $0
2019	Plan NameFINRA SEVERANCE PAY PLAN Plan #509 Participants BOY/EOY3,462 / 3,469 Assets BOY/EOY$0 / $0	2019	FINRA SEVERANCE PAY PLAN - Plan #509	3,462 / 3,469	$0 / $0
2019	Plan NameFINRA BENEFIT OPTIONS PROGRAM Plan #507 Participants BOY/EOY3,464 / 3,470 Assets BOY/EOY$0 / $0	2019	FINRA BENEFIT OPTIONS PROGRAM - Plan #507	3,464 / 3,470	$0 / $0

Benefit & Retirement Plans based on Form 5500.

Form 990

FINANCIAL INDUSTRY REGULATORY AUTHORITY INC

1735 K ST Nw, Washington, Dc 20006-1506 EIN:53-0088710 Deductibility:Contributions are not deductible Classification:Business League

Year	# of Emps	Contributions	Revenue	Expenses	Assets EOY	Liabilities
2022	# of Emps4336 Contributions$0 Revenue$1,730,554,890 Expenses$2,160,421,774 Assets EOY$2,751,162,902 Liabilities$1,073,295,251	2022	4336	$0	$1,730,554,890	$2,160,421,774	$2,751,162,902	$1,073,295,251
2021	# of Emps4204 Contributions$0 Revenue$1,418,364,485 Expenses$1,637,855,595 Assets EOY$2,420,287,162 Liabilities$539,746,645	2021	4204	$0	$1,418,364,485	$1,637,855,595	$2,420,287,162	$539,746,645
2020	# of Emps3768 Contributions$0 Revenue$1,763,233,323 Expenses$2,123,473,358 Assets EOY$2,454,852,715 Liabilities$1,004,564,159	2020	3768	$0	$1,763,233,323	$2,123,473,358	$2,454,852,715	$1,004,564,159
2019	# of Emps3528 Contributions$0 Revenue$1,316,323,993 Expenses$1,541,083,655 Assets EOY$2,248,066,636 Liabilities$755,698,086	2019	3528	$0	$1,316,323,993	$1,541,083,655	$2,248,066,636	$755,698,086
2018	# of Emps3899 Contributions$0 Revenue$1,246,962,010 Expenses$1,407,556,901 Assets EOY$2,115,247,106 Liabilities$564,016,450	2018	3899	$0	$1,246,962,010	$1,407,556,901	$2,115,247,106	$564,016,450

Tax Returns based on Form 990 & 990N.

Linked Companies

Address Match:1735 K St Nw Washington, DC

Financial Industry Regulatory Authority, Inc. Registered in Massachusetts	Washington, DC	View Report
Financial Industry Regulatory Authority, Inc. Registered in Virginia	Washington, DC	View Report
Financial Industry Regulatory Authority, Inc. Registered in Arizona	Phoenix, AZ Washington, DC	View Report
Financial Industry Regulatory Authority, Inc. Registered in Connecticut	Washington, DC	View Report
Finra Regulation, Inc. Registered in Virginia	Washington, DC	View Report
Finra Regulation, Inc. Registered in Oregon	Rockville, MD Washington, DC	View Report
Finra Regulation, Inc. Registered in North Dakota	Bismarck, ND Rockville, MD (1 more)	View Report
Finra Regulation, Inc. Registered in Florida	Washington, DC Rockville, MD	View Report
Financial Industry Regulatory Authority, Inc. Registered in Idaho	Rockville, MD Washington, DC (1 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in Georgia	Washington, DC	View Report
The Nasdaq Stock Market, Inc. Registered in Ohio	Cleveland, OH Washington, DC	View Report
Nasd Market Services, Inc. Registered in Alabama	Montgomery, AL Washington, DC	View Report
Financial Industry Regulatory Authority, Inc. Registered in Missouri	Clayton, MO Rockville, MD (2 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in Alaska	Rockville, MD Washington, DC	View Report
Finra Regulation, Inc. Registered in Colorado	Littleton, CO Washington, DC (1 more)	View Report
Finra Regulation, Inc. Registered in Missouri	Rockville, MD Washington, DC	View Report
Finra Regulation, Inc. Registered in Oklahoma	Oklahoma City, OK Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in Florida	Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in Oregon	Salem, OR Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in Virginia	Washington, DC	View Report
Nasd Market Services, Inc. Registered in Florida	Washington, DC	View Report
Nasd Regulation, Inc. Registered in Oregon	Rockville, MD Washington, DC	View Report
Nasdaq, Inc. Registered in Oregon	Salem, OR Washington, DC	View Report
Nasdaq, Inc. Registered in Virginia	Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in North Dakota	Bismarck, ND Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in Tennessee	Nashville, TN Rockville, MD (1 more)	View Report
Nasd Regulation, Inc. Registered in North Dakota	Bismarck, ND Washington, DC	View Report
The Nasdaq Stock Market, Inc. Registered in North Dakota	Bismarck, ND Washington, DC	View Report
Nasdaq, Inc. Registered in Tennessee	Nashville, TN Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in Maine	Augusta, ME Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in Alabama	Montgomery, AL Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in Washington	Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in Georgia	Washington, DC	View Report
Nasd Regulation, Inc. Registered in Vermont	Washington, DC	View Report
Nasdaq Stock Market, Inc., The Registered in Vermont	Washington, DC	View Report

Related Business Names:

Financial Industry Regulatory Authority Inc. Registered in New Jersey		View Report
Financial Industry Regulatory Authority, Inc. Registered in West Virginia	Charleston, WV Nw Washington, DC (2 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in Vermont	Rockville, MD Washington, DC	View Report
Financial Industry Regulatory Authority, Inc. Registered in Tennessee	Nashville, TN Rockville, MD (1 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in Wyoming	Cheyenne, WY Rockville, MD (1 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in North Dakota	Bismarck, ND Rockville, MD (1 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in California	Washington, DC (1 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in Pennsylvania		View Report
Financial Industry Regulatory Authority, Inc. Registered in Oregon	Rockville, MD Salem, OR (1 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in Minnesota	Roseville, MN	View Report
Financial Industry Regulatory Authority, Inc. Registered in Montana	Helena, MT Nw Washington, DC (1 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in Nevada	Washington, DC	View Report
Financial Industry Regulatory Authority, Inc. Registered in Alabama	Montgomery, AL Wilmington, DE	View Report
Financial Industry Regulatory Authority, Inc. Registered in Colorado	Littleton, CO Washington, DC (1 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in New Hampshire	Rockville, MD Washington, DC	View Report
Financial Industry Regulatory Authority, Inc. Registered in Texas	Lakewood, CO Wilmington, DE	View Report
Financial Industry Regulatory Authority, Inc. Registered in Wisconsin	Madison, WI	View Report
Financial Industry Regulatory Authority, Inc. Registered in New Hampshire	Concord, NH	View Report

Address Match:9509 Key West Ave Rockville, MD

Financial Industry Regulatory Authority Inc Registered in Washington	Washington, DC Rockville, MD	View Report
Financial Industry Regulatory Authority, Inc. Registered in New Mexico	Hobbs, NM Rockville, MD (2 more)	View Report
Finra Regulation, Inc. Registered in Washington	Rockville, MD Washington, DC	View Report
Finra Regulation, Inc. Registered in Wyoming	Cheyenne, WY Rockville, MD (1 more)	View Report
Finra Regulation, Inc. Registered in California	Washington, DC (1 more)	View Report
Financial Industry Regulatory Authority, Inc. Registered in Maine	Augusta, ME Rockville, MD (1 more)	View Report
The Nasdaq Stock Market, Inc. Registered in Colorado	Rockville, MD Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in California	Rockville, MD Sacramento, CA	View Report
Finra Dispute Resolution, Inc. Registered in Missouri	Rockville, MD Washington, DC (1 more)	View Report

Person/City Match:Colby Robert - Washington, DC

Financial Industry Regulatory Authority, Inc. Registered in Rhode Island	Washington, DC	View Report
Finra Regulation, Inc. Registered in Rhode Island	Warwick, RI (1 more)	View Report
Finra Regulation, Inc. Registered in Connecticut	Washington, DC	View Report
Finra Regulation, Inc. Registered in Arizona	Phoenix, AZ Washington, DC	View Report
Finra Regulation, Inc. Registered in New Hampshire	Bala-Cynwyd, PA Rockville, MD (1 more)	View Report
The Depository Trust & Clearing Corporation Registered in New Hampshire	Jersey City, NJ Minneapolis, MN (1 more)	View Report
Finra Regulation, Inc. Registered in Texas	Washington, DC Wilmington, DE	View Report
National Securities Clearing Corporation Registered in Texas	Jersey City, NJ New York, NY	View Report
Finra Dispute Resolution, Inc. Registered in Pennsylvania	Washington, DC	View Report
Finra Dispute Resolution, Inc. Registered in Texas	Washington, DC Wilmington, DE	View Report
Finra Dispute Resolution, Inc. Registered in Rhode Island	Warwick, RI	View Report
Finra Dispute Resolution, Inc. Registered in Connecticut	Hartford, CT Washington, DC	View Report

Person/City Match:Drummond Lance F - Charlotte, NC

Financial Industry Regulatory Authority, Inc. Registered in Michigan	Melville, NY	View Report
Finra Regulation, Inc. Registered in Michigan	New York, NY	View Report
Finra Regulation, Inc. Registered in Nevada	Washington, DC	View Report
Finra Regulation, Inc. Registered in Massachusetts	Washington, DC	View Report
Finra Regulation, Inc. Registered in Vermont	Barre, VT Rockville, MD (1 more)	View Report
Finra Regulation, Inc. Registered in Idaho	Rockville, MD Fairfield, IA	View Report

Person/City Match:Nagengast James D - La Vista, NE

Securities America Advisors, Inc. Registered in Michigan	Phoenix, AZ	View Report
Arbor Point Advisors, LLC Registered in Florida	La Vista, NE	View Report
Securities America Advisors, Inc. Registered in Florida	La Vista, NE	View Report
Securities America Advisors, Inc. Registered in Oregon	La Vista, NE	View Report
Securities America Advisors, Inc. Registered in Massachusetts	La Vista, NE	View Report
Securities America Advisors, Inc. Registered in Vermont	La Vista, NE	View Report
Securities America, Inc. Registered in Oregon	La Vista, NE Salem, OR	View Report
Securities America, Inc. Registered in Massachusetts	La Vista, NE	View Report
United Securities America, Inc. Registered in Florida	La Vista, NE	View Report
Securities America Advisors, Inc. Registered in Minnesota	Roseville, MN	View Report
Securities America of Minnesota, Inc. Registered in Minnesota	La Vista, NE	View Report
Securities America, Inc. Registered in North Carolina	La Vista, NE Raleigh, NC	View Report
Securities America Advisors, Inc. Registered in Missouri	Jefferson City, MO La Vista, NE	View Report
Securities America, Inc. Registered in New Hampshire	La Vista, NE	View Report
United Securities America, Inc. Registered in Missouri	Jefferson City, MO La Vista, NE	View Report
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Brecek & Young Advisors, Inc. Registered in Texas	Folsom, CA Lavista, NE	View Report
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View More in Washington, DC

Sources

The following government agencies have contributed data:

• Florida Department of State • U.S. Department of Labor • Internal Revenue Service

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