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Organizations Financial Industry Regulatory Authority Inc

Financial Industry Regulatory Authority Inc

Fiscal year ending 2023. Filed on November 15, 2024.

9509 Key West Avenue
Rockville, Maryland 20850

Financial Industry Regulatory Authority Inc (EIN: 53-0088710) has filed an IRS Form 990 since at least fiscal year 2016. In its fiscal year 2023 IRS Form 990 filing, Financial Industry Regulatory Authority Inc, a 501(c)(6) business league, reported compensation for 33 out of 4,102 total employees. Among the employees shown here, the average compensation is $808,232. The highest compensated employee at Financial Industry Regulatory Authority Inc is Robert W Cook with fiscal year 2023 compensation of $3,839,147.

Revenue, expenses, and employee compensation

Revenue

$1,604,253,354

Expenses

$2,059,192,510

Employee compensation

$978,132,654
Revenue, expenses, and employee compensation over time

Reported Compensated Employees

Robert W Cook
President and Chief Executive Officer
$3,839,147
$3,243,336 No related comp$595,811
Todd T Diganci
Executive Vice President and CFAO
$2,568,798
$1,668,198 No related comp$900,600
Steven J Randich
Executive Vice President and Chief Information Officer
$2,295,814
$1,806,685 No related comp$489,129
Christopher Kelly
Senior Vice President - THRU 11/1/23
$2,199,914
$2,068,572 No related comp$131,342
Gregory Ruppert
Executive Vice President
$1,534,372
$1,452,064 No related comp$82,308
Robert L D Colby
Executive Vice President and Chief Legal Officer
$1,444,194
$1,357,588 No related comp$86,606
Rainia L Washington
Executive Vice President
$1,416,535
$1,342,269 No related comp$74,266
Stephanie Dumont
Executive Vice President
$1,263,338
$1,001,760 No related comp$261,578
William st Louis
Executive Vice President
$1,204,545
$1,075,963 No related comp$128,582
Marcia E Asquith
Executive Vice President Board and External Relations
$1,142,234
$955,474 No related comp$186,760
Patrice Gliniecki
Senior Vice President
$1,107,010
$945,261 No related comp$161,749
Tigran Khrimian
Senior Vice President
$1,069,256
$875,105 No related comp$194,151

Benchmark Employee Compensation

Non-Employee Board Members

Gus Sauter
Board Member - AS of 12/21/23
$10,000
$10,000 No related compNo other comp
James T Crowley
Board Member
$709
$709 No related compNo other comp
Kathryn Ruemmler
Board Member - THRU 9/6/23
$613
$613 No related compNo other comp
Derrick Roman
Board Member - AS of 12/15/23
No compensation reported
Mortimer J Buckley
Board Member
No compensation reported
Ethiopis Tafara
Board Member
No compensation reported
Penny Pennington
Board Member
No compensation reported

Contractors

Amazon Web Services
Hosting
$164,663,552
Tek Systems
Consulting
$16,985,443
Consultnet LLC
Consulting
$13,038,682
Prometric
Testing
$12,726,565
Populas Group LLC
Consulting
$12,359,545

Mission Statement

FINRA's mission is to protect investors and safeguard the integrity of our vibrant capital markets to ensure that everyone can invest with confidence.

Revisions to this organization profile

November 17, 2025:
2024 Financial Industry Regulatory Authority Inc 990 filed
November 15, 2024:
2023 Financial Industry Regulatory Authority Inc 990 filed
November 15, 2023:
2022 Financial Industry Regulatory Authority Inc 990 filed

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