President & CEO
Dale E. Brown, CAE, is the founding president and CEO of the Financial Services Institute (FSI). Established in 2004, FSI is the only organization advocating on behalf of independent broker-dealers and their affiliated independent financial advisors. FSI’s mission is to create a healthier regulatory environment for their members through aggressive and effective advocacy, education and public awareness. FSI represents more than 100 independent broker-dealers and more than 35,000 independent financial advisors, reaching more than 15 million households.
Dale brings more than 25 years of association management experience to FSI with broad leadership in government relations and constituent advocacy. He leads FSI’s advocacy strategy, interacting frequently with regulators and policymakers in Washington, D.C. Prior to joining FSI at its launch, Dale guided the government relations, corporate and broker-dealer programs for the Financial Planning Association (FPA) and the International Association for Financial Planning (IAFP). Dale led the successful fight in the mid-1990s against the IRS’s attempts to force broker-dealers to re-classify independent contractor representatives as statutory employees. Dale was named a Certified Association Executive (CAE) in 1995. He is a past president of the Georgia Society of Association Executives (GSAE), and a recipient of GSAE’s President’s Award in 1995 and 2001. In May 2002, Dale received GSAE’s highest honor, the Clifford M. Clarke Award, given annually to an association executive who has demonstrated exemplary personal leadership and service to his or her own association, the association community and the general community.
He serves on the board of the Business & Industry Political Action Committee (BIPAC).
Dale has been recognized by Registered Rep magazine as one of “Ten to Watch” in 2005; included in Boomer Market Advisor’s “Forward Thinking Five” in 2006; and was named for seven consecutive years as one of Investment Advisor magazine’s 25 most influential individuals in and around the planning profession. He was named by Investment News as one of the Power 20 for 2012.
Dale attended the University of Georgia and graduated from Georgia State University with a bachelor’s degree in political science.
Executive Vice President & General Counsel
David has more than 20 years of broker-dealer compliance, legal, and operations experience. Most recently, he was vice president of operations and general counsel at Securities Service Network, Inc. He also previously was compliance manager and special investigations attorney with InterSecurities, Inc., assistant director of compliance at Commonwealth Financial Network, Inc. and assistant to the executive director at the Institute of Certified Financial Planners (ICFP). David received a B.S. in business management from Providence College and a JD from the University of Denver, Sturm College of Law. He is admitted to the state bar of Massachusetts and Tennessee.
Senior Vice President, Membership & Marketing
Chris is a veteran of Capitol Hill, spending more than a decade in presidential and congressional campaigns, working as a spokesman and strategic advisor for both U.S. House and Senate leadership offices, the Republican National Committee, the National Republican Congressional Committee and the Bush administration. After directing the communications department for U.S. Senator Kay Bailey Hutchison (R-TX), Chris ended his public service as Senior Advisor to former U.S. Senator George V. Voinovich of Ohio. For the last two years before joining FSI, he served as Senior Vice President of Communications, Marketing and Public Affairs for the Insured Retirement Institute. Chris earned a bachelor’s degree in communication and journalism from The Ohio State University.
Senior Vice President, Finance & Operations
Brett joins FSI from another 501(c)6 Washington D.C. based association where he served as the Chief Financial Officer and Senior Vice President of Operations for 6 years. In this role he managed the day-to-day finance and operations, including business and strategic planning, the Board’s finance committee that oversaw budgeting and audits, and several member outreach programs. He was successful in improving internal operating processes, strengthening the balance sheet, and creating a 9 month reserve. Prior to that, Brett worked for a world-wide management consulting firm specializing in transportation, and as a partner or the firm managed several lines of business including financial planning, commercial development, organizational reviews, and preparation of official statements to accompany bond issuances. Brett has over 24 years of business and finance experience. Brett received a B.A. in Economics and Finance from Carleton University.
Vice President, Corporate Relations
Kevin Whitehead has more than 22 years of experience working with and for independent broker-dealers and financial advisors. Prior to joining FSI in 2007, he served as the Director of National Accounts for Enterprise Fund Distributors, Inc., an AXA Financial company. He also served Enterprise as Director of College Planning and Director of Marketing.
Kevin received a B.S. in Business Administration from Tennessee Technological University in 1987. He entered the financial services industry in 1991 as a financial advisor and obtained the CFP® designation in 1993.
Vice President, Legislative Affairs
Robert joins FSI with over 10 years of Washington, D.C., experience and will be directing our Tax and Retirement section. He spent four years working on Capitol Hill for Senator Zell Miller (D-GA) on the Senate, Banking, Housing and Urban Affairs Committee. After Senator Miller's retirement, Robert joined Financial Executives International as Manager of Government Affairs, focusing on Pension and Retirement issues. He left to attend Catholic Law School and was a Law Clerk for U.S. House Judiciary Chairman Lamar Smith (R-TX) while in law school. Most recently, Robert was Manager of Federal Affairs for Community Financial Services Association of America.
Robert is a 2001 graduate of Morehouse College with a B.A. in Political Science and 2010 graduate of The Catholic University of America Columbus School of Law.
Vice President, Regulatory Affairs
Robin comes to FSI with nearly ten years of diverse experience in the financial services industry where she has held legal, compliance and regulatory roles. Most recently, Robin lead a team of regulatory analysts in FINRA’s Office of Fraud Detection and Market Intelligence. Prior to her regulatory experience, Robin worked as the Agency Supervisory Officer for the mid-Atlantic regional office of MML Investors Services where she served as the agency’s Registered Principal. Robin also served as in-house Legal Counsel for the broker-dealer Thrivent Investment Management, where she counseled the firm’s Compliance and Field Force divisions. Robin is a 1998 graduate of Eckerd College in St. Petersburg, Florida where she received a B.A. in Political Science and a 2002 graduate from William Mitchell College of Law in St. Paul, Minnesota. She is admitted to District of Columbia bar as well as the state bar of Illinois. Robin has held the Series 7, 24, 53, and 66 licenses and is a Certified Fraud Examiner.
Vice President of Member Engagement
Michelle brings more than 20 years of association management experience specializing in events and education to FSI. She has spent her career working for various associations responsible for overall strategy and choreography of various size events. Michelle is credentialed in the meetings industry as Certified Meeting Professional (CMP) and Global Certification in Meeting Management (CMM). She also holds the Business of Meetings Certification (BOM) and is Certified Association Executive (CAE). Michelle is an active member of Meeting Professionals International (MPI) and is currently serving as the Knowledge Advisory Council Chair. She is the Past President of the Potomac Chapter of MPI (PMPI), having served the chapter in a number of leadership roles and is a past recipient of the President's Award. Michelle received her Bachelors of Science with a minor in Business from Ithaca College, NY.
Director of Corporate Relations
Kathryn has over 12 years’ experience developing strategic relationships with independent broker-dealers and independent financial advisors through her prior roles on the National Accounts and Sales teams at Wells Real Estate Funds. Previously, she was a Senior Relationship Banker and Licensed Financial Specialist with Wachovia Bank, where she worked with consumers and businesses to proactively capture full client relationships that included deposits, lending, treasury services, and investments. Kathryn earned a B.S. in Accounting from North Georgia College and State University.
Director of Marketing
Jeannine is an Emmy award-winning communications professional with more than 10 years of experience in the marketing, public relations and broadcast media field. Prior to FSI, she worked as global marketing manager for Promethean World, marketing manager for Chick-fil-A, Inc., and as a public relations and media relations manager for The DeMoss Group (DGI). DGI is the largest faith-based public relations firm in the United States and serves prestigious clients, such as Reverend Billy Graham, Reverend Franklin Graham and Bishop T.D. Jakes. During her tenure in the sports communications industry, Jeannine worked as a marketing director and producer for such networks as The PGA Tour, FOX Sports Net, CBS Sports and ESPN.
Director of Legislative Affairs
Gladys brings more than six years of government and policy experience to FSI. She began her career on Capitol Hill working for Representative Linda Sánchez (D-CA) as the Congresswoman’s Staff Assistant, followed by serving as Administrative Assistant for the Clerk of the U.S. House of Representatives. In an effort to take on more legislative responsibility, Gladys joined the Office of Representative Loretta Sanchez (D-CA) where she was eventually promoted to Legislative Assistant. In that capacity, she handled various legislative issues, including technology, telecommunications, and housing. After serving more than five years on Capitol Hill, Gladys joined the Competitive Carriers Association as Director of Legislative Affairs, where she focused on telecommunications policy and regulation.
Gladys, a native of Los Angeles, earned her B.A. in Sociology from the University of California, Irvine.
Securities Regulatory Affairs Counsel
Justin comes to FSI with a strong background in securities law and experience on Capitol Hill. While in law school, he served as a legal intern at the Federal Reserve Board, the SEC, and the House Committee on Oversight and Government Reform. He also spent the summer of 2011 with the legal department of SecondMarket Inc., a New York based broker-dealer. While in law school he earned the Securities Law Program Certificate and was Vice-Chancellor of the Securities Law Moot Court team. Justin focuses his work at FSI on federal securities regulation, and is responsible for monitoring and responding to initiatives originating from the SEC and FINRA.
Justin earned a B.A. in economics from The Catholic University of America and J.D. from The Catholic University of America Columbus School of Law. He is admitted to the state bar of New York.
Manager of Legislative Affairs
Tim joins FSI with a wide variety of experience in the legal, nonprofit, and business arenas. While in law school, he served as a legal intern with the Certified Financial Planner Board of Standards and the U.S. Chamber of Commerce. Prior to moving to the DC Metro area, Tim worked for the Baton Rouge Area Chamber of Commerce where he worked on many issues of great importance to the Baton Rouge business community.
Tim earned his B.S. in Finance from Southern University and his J.D. from Georgetown University.
Adrian brings trial advocacy and Capitol Hill experience to FSI. Prior to joining FSI, Adrian was a congressional aide in the Office of Congressman Steve Pearce (R-NM) where she handled a policy portfolio including judiciary, tax, trade, and labor issues. During law school, Adrian interned with the Fifth Judicial District Attorney’s Office where she gained advocacy and trial experience.
Adrian received her B.B.A. in Economics and International Business from New Mexico State University in 2007 and her J.D. from Valparaiso University School of Law in 2011. She is admitted to the District of Columbia bar in addition to the state bar of Indiana.
Administrative Assistant for Advocacy
Matt comes to FSI with a broad range of experience in the government and non-profit areas. Prior to joining FSI, he worked at the Postal Regulatory Commission. He has also worked at the National Institutes of Health, and as a direct mail fundraiser for a variety of non-profit associations and organizations.
Matt earned a B.A. in Political Science from the University of Michigan.
Database & Operations Manager
Stanley brings more than five years of experience in information system research and database management to FSI. Prior to joining FSI, Stanley was the system architect and database administrator for Americans United for Life, a public policy organization in Washington, DC.
He has also worked as a database manager at Indiana University, and interned as an assessment and research analyst for teaching and learning technologies at Purdue University.
Stanley earned a master’s degree in information science from Indiana University at Bloomington. He was also awarded the merit scholarship.
Communications & Marketing Manager
Allison joins FSI with a broad range of experience in the communications field. Prior to joining FSI, Allison worked at the Insured Retirement Institute (IRI) as a Communications & Marketing Specialist. She has also worked as a Weekend Reporter at Lakeshore Public Radio in northwestern Indiana and was the News Director at WVUR-FM from 2008-2010.
Allison graduated with honors from Valparaiso University with a B.A. in Journalism and Political Science in 2010.
Kim joins FSI with over eight years of experience in the meetings and special events industry. Prior to joining FSI, Kim ran the meetings and events department at Potomac Management Resources, an association management firm. She has planned meetings for many different industries, including advertising, marketing, government, and project management industries, and many local bar associations. She has also worked with the Maine Chapter of the National MS Society to plan their MS150 Bike Tour.
Kim earned the Certified Meeting Professional (CMP) designation in January 2011, and is an active member of the Potomac Chapter of Meeting Professionals International (PMPI). Kim received a BA in Psychology from the George Washington University.
Web Strategy Manager
Cristy comes to FSI with a decade of web content management and strategy experience. Prior to joining FSI, she worked at the National Association for Convenience Stores as a Web Content Manger and at Steptoe & Johnson LLP as a Web Content Coordinator.
Cristy earned a B.A. in business administration from American University in Washington, DC.
Database Operations Coordinator
Wanda comes to FSI with an extensive background in association operations. Prior to joining FSI, Wanda worked at the Society of American Military Engineers (SAME) in its membership department, and in a variety of positions at the American Coatings Association (ACA).
Wanda earned a B.A. in Foreign Affairs at the University of Virginia.
Dale Brown, CAESave vCard
David Bellaire, Esq.Save vCard
Chris PaulitzSave vCard
Brett McAllisterSave vCard
Kevin WhiteheadSave vCard
Robert E. Lewis, Jr.Save vCard
Robin TraxlerSave vCard
Michelle AllgauerSave vCard
Kathryn AndersonSave vCard
Jeannine RhodenSave vCard
Gladys BarcenaSave vCard
Justin NazariSave vCard
Timothy DawsonSave vCard
Adrian WillifordSave vCard
Matt RuffnerSave vCard
Stanley BaoSave vCard
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Cristy ZuazuaSave vCard
Wanda BlevinsSave vCard