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FSI Names Andrew Hartnett VP of Regulatory Affairs, Deputy General Counsel

By Mari Nicholson

FSI Names Andrew Hartnett VP of Regulatory Affairs, Deputy General Counsel
Andrew M. Hartnett

The Financial Services Institute, an advocacy organization for independent financial services firms and independent financial advisers, has announced the hiring of Andrew M. Hartnett as vice president of regulatory affairs and deputy general counsel. He will report to David Bellaire, FSI’s executive vice president and general counsel.

In this role, Hartnett will collaborate closely with FSI’s advocacy staff to advance the organization’s regulatory agenda and strengthen engagement with federal and state regulators, legislative offices, and FSI member firms as well as independent financial advisers.

“Andrew’s deep regulatory expertise and strong relationships across the industry will be invaluable as FSI continues to advocate for investor access to affordable financial advice,” said Dale Brown, FSI’s president and chief executive officer. “His passion for safeguarding investors and deep understanding of the important role both regulators and the industry play in helping Americans achieve their financial goals will help advance our advocacy mission.”

Hartnett joins FSI following a distinguished career in both public service and private practice. Most recently, he served as deputy insurance commissioner at the Iowa Department of Insurance & Financial Services. He previously led the Missouri Securities Division as commissioner and served as president of the North American Securities Administrators Association, or NASAA. Earlier, he held senior roles in the Missouri Attorney General’s Office and practiced law representing broker-dealers and investment advisers in regulatory and enforcement matters.

In addition to Hartnett’s hiring, FSI promoted additional members of its advocacy team:

  • Hanna Laver is now vice president of legislative affairs and senior counsel;
  • Dan Barry was promoted to associate vice president of legislative affairs; and
  • Matt Landers is now associate vice president of political engagement.

“FSI’s advocacy team is at the heart of our mission,” stated Brown. “From protecting advisers’ independent contractor status and strengthening safeguards for senior investors to opposing burdensome state financial services taxes and deepening relationships with policymakers, their work has delivered meaningful results. With these promotions and Andrew’s addition, our team is well-positioned to continue championing policies that benefit our members and the clients they serve.”

Since 2004, through advocacy, education and public awareness, FSI has promoted a more responsible regulatory environment for over 60 independent financial services firm members and their 130,000+ affiliated financial advisers – which comprise over 45% of all producing registered representatives.

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