The Financial Services Institute (FSI) was founded in 2004 with a clear mission: to ensure that all individuals have access to competent and affordable financial advice, products and services delivered by a growing network of independent financial advisors and independent financial services firms.

At FSI, everything we do starts and ends with working to create a healthier, more business-friendly regulatory environment for our members – the independent financial services firms and independent financial advisors who provide affordable, unbiased advice to hard-working Main Street Americans.

FSI’s total concentration on advocacy in Washington, D.C. and throughout the United States delivers the highest possible return on investment for our members. In the last year alone, we have:

  • Stopped you from being forced to become an employee of your broker-dealer
  • Protected access to your advice that would have been banned by the government by outlawing commissions (ongoing)
  • Protected your clients’ choices of investment vehicles such as Inherited “Stretch” IRAs, annuities
  • Grown our voice in Washington, D.C. and the states by doubling financial advisor membership
  • Secured a seat at the regulatory table by electing 30 members to FINRA committees
  • Preserved your revenue stream by defending 12b-1 fees

Our vision is that all individuals, regardless of their level of wealth, have access to competent and affordable financial advice, products and services delivered through an independent financial advisor affiliated with an independent financial services firm. Our strategy supports our mission and vision through robust involvement in FINRA governance, vigorous engagement in the electoral and regulatory process and effective influence on the legislative process.

Visit financialservices.org for more about the Financial Services Institute and how to become a member.


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