FSI Firm Membership Application

This application is for broker-dealer/RIA firms (corporate firm membership). Individual financial advisors may apply for individual financial advisor membership.

To qualify for FSI Firm Membership, applicant must meet the following criteria:

  1. Must be a broker-dealer or RIA that is in good standing with FINRA or the SEC/state; and
  2. Must be a retail firm, doing business with the public (not a wholesale distributor only), selling the products of more than one unaffiliated product company.
  • Your Contact Information

  • Firm Information

  • (Including home office employees and registered sales assistants)
  • (Excluding home office employees and registered sales assistants)
  • Annual Dues

    Please enter your revenues information below. If accepted into FSI Firm Membership, FSI will email you an invoice for the appropriate dues amount, according to the schedule below.
  • In accordance with IRC SEC 6003, 100% of membership dues is estimated for lobbying, and is not deductible. FSI membership dues may not be deducted as a business expense or as a charitable contribution.
  • Total Revenues (from line 3 above)Membership Dues
    $0 – $4,999,999$2,000
    $5,000,000 – $9,999,999$6,500
    $10,000,000 – $14,999,999$11,000
    $15,000,000 – $24,999,999$15,000
    $25,000,000 – $49,999,999$20,000
    $50,000,000 – $99,999,999$26,000
    $100,000,000 – $149,999,999$33,000
    $150,000,000 – $249,999,999$42,000
    $250,000,000 – $499,999,999$42,000 + 0.01% of revenues
    in excess of $250 million*
    $500,000,000 or more$67,000 + 0.009% of revenues
    in excess of $500 million**

    *Example: A firm with total revenues of $275,000,000 would pay $42,200 plus ($25,000,000 x 0.0001 = $2,500), for a total of $44,500.

    **Example: A firm with total revenues of $550,000,000 would pay $67,000 plus ($50,000,000 x 0.00009 = $4,500), for a total of $71,500.

  • Compliance History

  • Agreement

    By submitting this form, I agree, if accepted into FSI Membership: 1. To cooperate with and abide by FSI’s Bylaws. 2. To avoid representing to anyone that FSI sanctions, approves, endorses, or serves as a reference for any company, its affiliates, or its products/services. 3. To consent to receiving e-mail from FSI intended to describe and provide the benefits of membership. FSI, in return, will provide all of the benefits of Membership. These benefits can be amended from time to time by FSI’s Board of Directors. I have read the Membership Application and agreement. I understand them and agree to abide by them.

Who to Contact

Kevin Whitehead
Vice President, Business Development
Email Kevin