TY 2019 Form 990

(A) Name and title	(B) Average hours per week (list any hours for related organizations below dotted line)	(C) Position (do not check more than one box, unless person is both an officer and a director/trustee)	(E) Reportable compensation from related organizations (W-2/1099-MISC)
(1) DANIEL DAGEN...................................................................... CHIEF EXECUTIVE OFFICER	40.00 .................		X		359,298	39,995
(2) JAMES CEMPROLA...................................................................... DIRECTOR OF INSTITUTIONAL ENGAGEMENT	40.00 .................			X	163,012	26,410
(3) STEVEN FRASIER...................................................................... DIRECTOR OF FINANCE & BENEFITS	40.00 .................			X	143,102	27,065
(4) JIMIBETH MYERS...................................................................... DIRECTOR OF MARKETING OPERATIONS	40.00 .................			X	124,952	18,121
(5) JARED STECKLER...................................................................... DIR. OF TECHNOLOGY & DIGITAL MARKETING	40.00 .................			X	120,959	13,132
(6) CHRISTOPHER BRUZESE...................................................................... DIR. OF MEDIA PRODUCTIONS	40.00 .................			X	108,100	13,655
(7) THOMAS BRIGANDI CFA...................................................................... CHAIRMAN	3.00 .................	X	X		0	0
(8) DEEPIKA SHARMA CFA...................................................................... VICE CHAIRMAN	3.00 .................	X	X		0	0
(9) CAROLE K CRAWFORD CFA...................................................................... SECRETARY	3.00 .................	X	X		0	0
(10) EVELYN YEOW CFA...................................................................... TREASURER	3.00 .................	X	X		0	0
(11) KEVIN MAXWELL CFA...................................................................... DIRECTOR	3.00 .................	X			0	0
(12) AMELIE DEROSNE CFA...................................................................... DIRECTOR	3.00 .................	X			0	0
(13) SANJAY ARORA CFA CMA ACA...................................................................... DIRECTOR	3.00 .................	X			0	0
(14) SEIICHIRO SUZUKI CFA...................................................................... DIRECTOR	3.00 .................	X			0	0
(15) MARIA WEITZER CFA...................................................................... DIRECTOR	3.00 .................	X			0	0
(16) KELLY YE CFA...................................................................... DIRECTOR	3.00 .................	X			0	0
(17) ANDREW AUSLANDER CFA FRM...................................................................... DIRECTOR	3.00 .................	X			0	0

- TIN:

SCHEDULE A
(Form 990 or 990EZ)

Department of the Treasury
Internal Revenue Service

Public Charity Status and Public Support

Complete if the organization is a section 501(c)(3) organization or a section 4947(a)(1) nonexempt charitable trust.
right arrow

Attach to Form 990 or Form 990-EZ.
right arrow

Go to www.irs.gov/Form990 for instructions and the latest information.

OMB No. 1545-0047

2019

Open to Public
Inspection

Name of the organization

THE NEW YORK SOCIETY OF SECURITY
ANALYSTS INC

Employer identification number

13-5610350

Part I

Reason for Public Charity Status (All organizations must complete this part.) See instructions.

The organization is not a private foundation because it is: (For lines 1 through 12, check only one box.)

A church, convention of churches, or association of churches described in section 170(b)(1)(A)(i).

A school described in section 170(b)(1)(A)(ii). (Attach Schedule E (Form 990 or 990-EZ).)

A hospital or a cooperative hospital service organization described in section 170(b)(1)(A)(iii).

A medical research organization operated in conjunction with a hospital described in section 170(b)(1)(A)(iii). Enter the hospital's name, city, and state:

An organization operated for the benefit of a college or university owned or operated by a governmental unit described in section 170(b)(1)(A)(iv). (Complete Part II.)

A federal, state, or local government or governmental unit described in section 170(b)(1)(A)(v).

An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in section 170(b)(1)(A)(vi). (Complete Part II.)

A community trust described in section 170(b)(1)(A)(vi). (Complete Part II.)

An agricultural research organization described in 170(b)(1)(A)(ix) operated in conjunction with a land-grant college or university or a non-land grant college of agriculture. See instructions. Enter the name, city, and state of the college or university:

An organization that normally receives: (1) more than 331/3% of its support from contributions, membership fees, and gross receipts from activities related to its exempt functions—subject to certain exceptions, and (2) no more than 331/3% of its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses acquired by the organization after June 30, 1975. See section 509(a)(2). (Complete Part III.)

An organization organized and operated exclusively to test for public safety. See section 509(a)(4).

An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). See section 509(a)(3). Check the box in lines 12a through 12d that describes the type of supporting organization and complete lines 12e, 12f, and 12g.

Type I. A supporting organization operated, supervised, or controlled by its supported organization(s), typically by giving the supported organization(s) the power to regularly appoint or elect a majority of the directors or trustees of the supporting organization. You must complete Part IV, Sections A and B.

Type II. A supporting organization supervised or controlled in connection with its supported organization(s), by having control or management of the supporting organization vested in the same persons that control or manage the supported organization(s). You must complete Part IV, Sections A and C.

Type III functionally integrated. A supporting organization operated in connection with, and functionally integrated with, its supported organization(s) (see instructions). You must complete Part IV, Sections A, D, and E.

Type III non-functionally integrated. A supporting organization operated in connection with its supported organization(s) that is not functionally integrated. The organization generally must satisfy a distribution requirement and an attentiveness requirement (see instructions). You must complete Part IV, Sections A and D, and Part V.

Check this box if the organization received a written determination from the IRS that it is a Type I, Type II, Type III functionally integrated, or Type III non-functionally integrated supporting organization.

Enter the number of supported organizations ...............................

Provide the following information about the supported organization(s).

(i) Name of supported organization	(ii) EIN	(iv) Is the organization listed in your governing document?		(v) Amount of monetary support (see instructions)	(vi) Amount of other support (see instructions)
(i) Name of supported organization	(ii) EIN	Yes	No	(v) Amount of monetary support (see instructions)	(vi) Amount of other support (see instructions)


Total

For Paperwork Reduction Act Notice, see the Instructions for
Form 990 or 990-EZ.

Cat. No. 11285F

Schedule A (Form 990 or 990-EZ) 2019

Page 2

Part II

Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)
(Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization failed to qualify under the tests listed below, please complete Part III.)

Section A. Public Support

Calendar year (or fiscal year beginning in)		(a) 2015	(b) 2016	(c) 2017	(d) 2018	(e) 2019	(f) Total
1	Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grant.") ..
2	Tax revenues levied for the organization's benefit and either paid to or expended on its behalf....
3	The value of services or facilities furnished by a governmental unit to the organization without charge..
4	Total. Add lines 1 through 3
5	The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f)..
6	Public support. Subtract line 5 from line 4.

Section B. Total Support

Calendar year (or fiscal year beginning in)		(a) 2015	(b) 2016	(c) 2017	(d) 2018	(e) 2019	(f) Total
7	Amounts from line 4..
8	Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources...
9	Net income from unrelated business activities, whether or not the business is regularly carried on..
10	Other income. Do not include gain or loss from the sale of capital assets (Explain in Part VI.)..
11	Total support. Add lines 7 through 10

Gross receipts from related activities, etc. (see instructions) ..................

First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization, check this box and stop here........................................ right arrow

Section C. Computation of Public Support Percentage

Public support percentage for 2019 (line 6, column (f) divided by line 11, column (f)) .........

Public support percentage for 2018 Schedule A, Part II, line 14 ...............

16a

33 1/3% support test—2019. If the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check this box
and stop here. The organization qualifies as a publicly supported organization ....................... right arrow

33 1/3% support test—2018. If the organization did not check a box on line 13 or 16a, and line 15 is 33 1/3% or more, check this
box and stop here. The organization qualifies as a publicly supported organization ..................... right arrow

17a

10%-facts-and-circumstances test—2019. If the organization did not check a box on line 13, 16a, or 16b, and line 14
is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here. Explain
in Part VI how the organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported
organization ..................................................... right arrow

10%-facts-and-circumstances test—2018. If the organization did not check a box on line 13, 16a, 16b, or 17a, and line
15 is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here.
Explain in Part VI how the organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly
supported organization ................................................ right arrow

Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see
instructions ..................................................... right arrow

Schedule A (Form 990 or 990-EZ) 2019

Page 3

Part III

Support Schedule for Organizations Described in Section 509(a)(2)
(Complete only if you checked the box on line 10 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.)

Section A. Public Support

Calendar year (or fiscal year beginning in)		(a) 2015	(b) 2016	(c) 2017	(d) 2018	(e) 2019	(f) Total
1	Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .	1,830,369	2,522,494	2,832,228	3,291,880	3,676,767	14,153,738
2	Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose	1,750,979	1,956,186	1,620,709	1,836,237	976,418	8,140,529
3	Gross receipts from activities that are not an unrelated trade or business under section 513 .....
4	Tax revenues levied for the organization's benefit and either paid to or expended on its behalf...
5	The value of services or facilities furnished by a governmental unit to the organization without charge
6	Total. Add lines 1 through 5	3,581,348	4,478,680	4,452,937	5,128,117	4,653,185	22,294,267
7a	Amounts included on lines 1, 2, and 3 received from disqualified persons	3,000	3,000	3,000	3,000	3,000	15,000
b	Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year.						0
c	Add lines 7a and 7b..	3,000	3,000	3,000	3,000	3,000	15,000
8	Public support. (Subtract line 7c from line 6.)						22,279,267

Section B. Total Support

Calendar year (or fiscal year beginning in)		(a) 2015	(b) 2016	(c) 2017	(d) 2018	(e) 2019	(f) Total
9	Amounts from line 6...	3,581,348	4,478,680	4,452,937	5,128,117	4,653,185	22,294,267
10a	Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..	42,645	45,568	46,699	48,118	43,339	226,369
b	Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975.
c	Add lines 10a and 10b.	42,645	45,568	46,699	48,118	43,339	226,369
11	Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on.	-93,153	-122,751	-89,672	-306,056	-228,268	-839,900
12	Other income. Do not include gain or loss from the sale of capital assets (Explain in Part VI.) ..	487,723	522,731	616,758	856,712	832,645	3,316,569
13	Total support. (Add lines 9, 10c, 11, and 12.)..	4,018,563	4,924,228	5,026,722	5,726,891	5,300,901	24,997,305

First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization,
check this box and stop here............................................. right arrow

Section C. Computation of Public Support Percentage

Public support percentage for 2019 (line 8, column (f) divided by line 13, column (f)) .........

89.130 %

Public support percentage from 2018 Schedule A, Part III, line 15 ...............

89.850 %

Section D. Computation of Investment Income Percentage

Investment income percentage for 2019 (line 10c, column (f) divided by line 13, column (f)) ......

0.910 %

Investment income percentage from 2018 Schedule A, Part III, line 17 .............

0.950 %

19a

331/3% support tests—2019. If the organization did not check the box on line 14, and line 15 is more than 33 1/3%, and line 17 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization ....... right arrow

33 1/3% support tests—2018. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3% and line 18 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization .... right arrow

Private foundation. If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions .... right arrow

Schedule A (Form 990 or 990-EZ) 2019

Page 4

Part IV

Supporting Organizations

(Complete only if you checked a box on line 12 of Part I. If you checked 12a of Part I, complete Sections A and B. If you checked 12b of Part I, complete Sections A and C. If you checked 12c of Part I, complete Sections A, D, and E. If you checked 12d of Part I, complete Sections A and D, and complete Part V.)

Section A. All Supporting Organizations

Yes

Are all of the organization’s supported organizations listed by name in the organization’s governing documents?
If "No," describe in Part VI how the supported organizations are designated. If designated by class or purpose,
describe the designation. If historic and continuing relationship, explain.

Did the organization have any supported organization that does not have an IRS determination of status under section 509(a)(1) or (2)? If "Yes," explain in Part VI how the organization determined that the supported organization was described in section 509(a)(1) or (2).

Did the organization have a supported organization described in section 501(c)(4), (5), or (6)? If "Yes," answer (b) and (c) below.

Did the organization confirm that each supported organization qualified under section 501(c)(4), (5), or (6) and satisfied the public support tests under section 509(a)(2)? If "Yes," describe in Part VI when and how the organization made the determination.

Did the organization ensure that all support to such organizations was used exclusively for section 170(c)(2)(B) purposes? If "Yes," explain in Part VI what controls the organization put in place to ensure such use.

Was any supported organization not organized in the United States ("foreign supported organization")? If “Yes” and if you checked 12a or 12b in Part I, answer (b) and (c) below.

Did the organization have ultimate control and discretion in deciding whether to make grants to the foreign supported organization? If “Yes,” describe in Part VI how the organization had such control and discretion despite being controlled or supervised by or in connection with its supported organizations.

Did the organization support any foreign supported organization that does not have an IRS determination under sections 501(c)(3) and 509(a)(1) or (2)? If “Yes,” explain in Part VI what controls the organization used to ensure that all support to the foreign supported organization was used exclusively for section 170(c)(2)(B) purposes.

Did the organization add, substitute, or remove any supported organizations during the tax year? If “Yes,” answer (b) and (c) below (if applicable). Also, provide detail in Part VI, including (i) the names and EIN numbers of the supported organizations added, substituted, or removed; (ii) the reasons for each such action; (iii) the authority under the organization's organizing document authorizing such action; and (iv) how the action was accomplished (such as by amendment to the organizing document).

Type I or Type II only. Was any added or substituted supported organization part of a class already designated in the organization's organizing document?

Substitutions only. Was the substitution the result of an event beyond the organization's control?

Did the organization provide support (whether in the form of grants or the provision of services or facilities) to anyone other than (i) its supported organizations, (ii) individuals that are part of the charitable class benefited by one or more of its supported organizations, or (iii) other supporting organizations that also support or benefit one or more of the filing organization’s supported organizations? If “Yes,” provide detail in Part VI.

Did the organization provide a grant, loan, compensation, or other similar payment to a substantial contributor (defined in section 4958(c)(3)(C)), a family member of a substantial contributor, or a 35% controlled entity with regard to a substantial contributor? If “Yes,” complete Part I of Schedule L (Form 990 or 990-EZ) .

Did the organization make a loan to a disqualified person (as defined in section 4958) not described in line 7? If “Yes,” complete Part I of Schedule L (Form 990 or 990-EZ).

Was the organization controlled directly or indirectly at any time during the tax year by one or more disqualified persons as defined in section 4946 (other than foundation managers and organizations described in section 509(a)(1) or (2))? If “Yes,” provide detail in Part VI.

Did one or more disqualified persons (as defined in line 9a) hold a controlling interest in any entity in which the supporting organization had an interest? If “Yes,” provide detail in Part VI.

Did a disqualified person (as defined in line 9a) have an ownership interest in, or derive any personal benefit from, assets in which the supporting organization also had an interest? If “Yes,” provide detail in Part VI.

10a

Was the organization subject to the excess business holdings rules of section 4943 because of section 4943(f) (regarding certain Type II supporting organizations, and all Type III non-functionally integrated supporting organizations)? If “Yes,” answer line 10b below.

10a

Did the organization have any excess business holdings in the tax year? (Use Schedule C, Form 4720, to determine whether the organization had excess business holdings).

10b

Schedule A (Form 990 or 990-EZ) 2019

Page 5

Part IV

Supporting Organizations (continued)

Yes

Has the organization accepted a gift or contribution from any of the following persons?

A person who directly or indirectly controls, either alone or together with persons described in (b) and (c) below, the governing body of a supported organization?

11a

A family member of a person described in (a) above?

11b

A 35% controlled entity of a person described in (a) or (b) above? If “Yes” to a, b, or c, provide detail in Part VI.

11c

Section B. Type I Supporting Organizations

Yes

Did the directors, trustees, or membership of one or more supported organizations have the power to regularly appoint or elect at least a majority of the organization’s directors or trustees at all times during the tax year? If “No,” describe in Part VI how the supported organization(s) effectively operated, supervised, or controlled the organization’s activities. If the organization had more than one supported organization, describe how the powers to appoint and/or remove directors or trustees were allocated among the supported organizations and what conditions or restrictions, if any, applied to such powers during the tax year.

Did the organization operate for the benefit of any supported organization other than the supported organization(s) that operated, supervised, or controlled the supporting organization? If “Yes,” explain in Part VI how providing such benefit carried out the purposes of the supported organization(s) that operated, supervised or controlled the supporting organization.

Section C. Type II Supporting Organizations

Yes

Were a majority of the organization’s directors or trustees during the tax year also a majority of the directors or trustees of each of the organization’s supported organization(s)? If “No,” describe in Part VI how control or management of the supporting organization was vested in the same persons that controlled or managed the supported organization(s).

Section D. All Type III Supporting Organizations

Yes

Did the organization provide to each of its supported organizations, by the last day of the fifth month of the organization’s tax year, (i) a written notice describing the type and amount of support provided during the prior tax year, (ii) a copy of the Form 990 that was most recently filed as of the date of notification, and (iii) copies of the organization’s governing documents in effect on the date of notification, to the extent not previously provided?

Were any of the organization’s officers, directors, or trustees either (i) appointed or elected by the supported organization(s) or (ii) serving on the governing body of a supported organization? If "No," explain in Part VI how the organization maintained a close and continuous working relationship with the supported organization(s).

By reason of the relationship described in (2), did the organization’s supported organizations have a significant voice in the organization’s investment policies and in directing the use of the organization’s income or assets at all times during the tax year? If "Yes," describe in Part VI the role the organization’s supported organizations played in this regard.

Section E. Type III Functionally-Integrated Supporting Organizations

Check the box next to the method that the organization used to satisfy the Integral Part Test during the year (see instructions):

The organization satisfied the Activities Test. Complete line 2 below.

The organization is the parent of each of its supported organizations. Complete line 3 below.

The organization supported a governmental entity. Describe in Part VI how you supported a government entity (see instructions)

Activities Test. Answer (a) and (b) below.

Yes

Did substantially all of the organization’s activities during the tax year directly further the exempt purposes of the supported organization(s) to which the organization was responsive? If "Yes," then in Part VI identify those supported organizations and explain how these activities directly furthered their exempt purposes, how the organization was responsive to those supported organizations, and how the organization determined that these activities constituted substantially all of its activities.

Did the activities described in (a) constitute activities that, but for the organization’s involvement, one or more of the organization’s supported organization(s) would have been engaged in? If "Yes," explain in Part VI the reasons for the organization’s position that its supported organization(s) would have engaged in these activities but for the organization’s involvement.

Parent of Supported Organizations. Answer (a) and (b) below.

Did the organization have the power to regularly appoint or elect a majority of the officers, directors, or trustees of each of the supported organizations? Provide details in Part VI.

Did the organization exercise a substantial degree of direction over the policies, programs and activities of each of its supported organizations? If "Yes," describe in Part VI. the role played by the organization in this regard.

Schedule A (Form 990 or 990-EZ) 2019

Page 6

Part V

Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations

Check here if the organization satisfied the Integral Part Test as a qualifying trust on Nov. 20, 1970 (explain in Part VI). See instructions. All other Type III non-functionally integrated supporting organizations must complete Sections A through E.

	Section A - Adjusted Net Income		(A) Prior Year	(B) Current Year (optional)
1	Net short-term capital gain	1
2	Recoveries of prior-year distributions	2
3	Other gross income (see instructions)	3
4	Add lines 1 through 3	4
5	Depreciation and depletion	5
6	Portion of operating expenses paid or incurred for production or collection of gross income or for management, conservation, or maintenance of property held for production of income (see instructions)	6
7	Other expenses (see instructions)	7
8	Adjusted Net Income (subtract lines 5, 6 and 7 from line 4)	8

	Section B - Minimum Asset Amount		(A) Prior Year	(B) Current Year (optional)
1	Aggregate fair market value of all non-exempt-use assets (see instructions for short tax year or assets held for part of year):	1
a	Average monthly value of securities	1a
b	Average monthly cash balances	1b
c	Fair market value of other non-exempt-use assets	1c
d	Total (add lines 1a, 1b, and 1c)	1d
e	Discount claimed for blockage or other factors (explain in detail in Part VI):
2	Acquisition indebtedness applicable to non-exempt use assets	2
3	Subtract line 2 from line 1d	3
4	Cash deemed held for exempt use. Enter 1-1/2% of line 3 (for greater amount, see instructions).	4
5	Net value of non-exempt-use assets (subtract line 4 from line 3)	5
6	Multiply line 5 by .035	6
7	Recoveries of prior-year distributions	7
8	Minimum Asset Amount (add line 7 to line 6)	8

	Section C - Distributable Amount		Current Year
1	Adjusted net income for prior year (from Section A, line 8, Column A)	1
2	Enter 85% of line 1	2
3	Minimum asset amount for prior year (from Section B, line 8, Column A)	3
4	Enter greater of line 2 or line 3	4
5	Income tax imposed in prior year	5
6	Distributable Amount. Subtract line 5 from line 4, unless subject to emergency temporary reduction (see instructions)	6

Check here if the current year is the organization's first as a non-functionally-integrated Type III supporting organization (see instructions)

Schedule A (Form 990 or 990-EZ) 2019

Page 7

Part V

Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations(continued)

Section D - Distributions		Current Year
1 Amounts paid to supported organizations to accomplish exempt purposes
2 Amounts paid to perform activity that directly furthers exempt purposes of supported organizations, in excess of income from activity
3 Administrative expenses paid to accomplish exempt purposes of supported organizations
4 Amounts paid to acquire exempt-use assets
5 Qualified set-aside amounts (prior IRS approval required)
6 Other distributions (describe in Part VI). See instructions
7Total annual distributions. Add lines 1 through 6.
8 Distributions to attentive supported organizations to which the organization is responsive (provide details in Part VI). See instructions
9 Distributable amount for 2019 from Section C, line 6
10 Line 8 amount divided by Line 9 amount

Section E - Distribution Allocations (see instructions)		(i) Excess Distributions	(ii) Underdistributions Pre-2019	(iii) Distributable Amount for 2019
1 Distributable amount for 2019 from Section C, line 6
2 Underdistributions, if any, for years prior to 2019 (reasonable cause required-- explain in Part VI). See instructions.
3 Excess distributions carryover, if any, to 2019:
a From 2014.......
b From 2015.......
c From 2016.......
d From 2017.......
e From 2018.......
fTotal of lines 3a through e
g Applied to underdistributions of prior years
h Applied to 2019 distributable amount
i Carryover from 2014 not applied (see instructions)
j Remainder. Subtract lines 3g, 3h, and 3i from 3f.
4Distributions for 2019 from Section D, line 7:
$
a Applied to underdistributions of prior years
b Applied to 2019 distributable amount
c Remainder. Subtract lines 4a and 4b from 4.
5 Remaining underdistributions for years prior to 2019, if any. Subtract lines 3g and 4a from line 2. If the amount is greater than zero, explain in Part VI. See instructions.
6 Remaining underdistributions for 2019. Subtract lines 3h and 4b from line 1. If the amount is greater than zero, explain in Part VI. See instructions.
7 Excess distributions carryover to 2020. Add lines 3j and 4c.
8 Breakdown of line 7:
a Excess from 2015.....
b Excess from 2016.....
c Excess from 2017.....
d Excess from 2018.....
e Excess from 2019.....

Schedule A (Form 990 or 990-EZ) (2019)

Schedule A (Form 990 or 990-EZ) 2019

Page 8

Part VI

Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; Part III, line 12; Part IV, Section A, lines 1, 2, 3b, 3c, 4b, 4c, 5a, 6, 9a, 9b, 9c, 11a, 11b, and 11c; Part IV, Section B, lines 1 and 2; Part IV, Section C, line 1; Part IV, Section D, lines 2 and 3; Part IV, Section E, lines 1c, 2a, 2b, 3a and 3b; Part V, line 1; Part V, Section B, line 1e; Part V Section D, lines 5, 6, and 8; and Part V, Section E, lines 2, 5, and 6. Also complete this part for any additional information. (See instructions).

Facts And Circumstances Test

Return Reference	Explanation
SCHEDULE A, PART III, LINE 12, EXPLANATION OF OTHER INCOME:	OTHER REVENUE - 2015 AMOUNT: $ 487,723. 2016 AMOUNT: $ 522,731. 2017 AMOUNT: $ 616,758. 2018 AMOUNT: $ 856,712. 2019 AMOUNT: $ 832,645.

Schedule A (Form 990 or 990-EZ) 2019

Additional Data

Software ID:
Software Version:

- TIN:

SCHEDULE D
(Form 990)

Department of the Treasury
Internal Revenue Service

Supplemental Financial Statements

Complete if the organization answered "Yes," on Form 990,
Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b.
SchDMd Bullet

Attach to Form 990.
SchDMd Bullet

Go to www.irs.gov/Form990 for instructions and the latest information.

OMB No. 1545-0047

2019

Open to Public Inspection

Name of the organization

THE NEW YORK SOCIETY OF SECURITY
ANALYSTS INC

Employer identification number

13-5610350

Part I

Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" on Form 990, Part IV, line 6.

		(a) Donor advised funds	(b) Funds and other accounts
1	Total number at end of year .........
2	Aggregate value of contributions to (during year)
3	Aggregate value of grants from (during year)
4	Aggregate value at end of year ........

Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds are the organization’s property, subject to the organization’s exclusive legal control? ............

Yes No

Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring impermissible private benefit? ...................................

Yes No

Part II

Conservation Easements.
Complete if the organization answered "Yes" on Form 990, Part IV, line 7.

Purpose(s) of conservation easements held by the organization (check all that apply).

Preservation of land for public use (e.g., recreation or education) Preservation of an historically important land area

Protection of natural habitat Preservation of a certified historic structure

Preservation of open space

Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year.


a	Total number of conservation easements ......................	2a
b	Total acreage restricted by conservation easements ....................	2b
c	Number of conservation easements on a certified historic structure included in (a) .....	2c
d	Number of conservation easements included in (c) acquired after 7/25/06, and not on a historic structure listed in the National Register ...	2d

Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during the
tax year SchDMd Bullet

Number of states where property subject to conservation easement is located SchDMd Bullet

Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and enforcement of the conservation easements it holds? ............

Yes No

Staff and volunteer hours devoted to monitoring, inspecting, handling of violations, and enforcing conservation easements during the year
SchDMd Bullet

Amount of expenses incurred in monitoring, inspecting, handling of violations, and enforcing conservation easements during the year
SchDMd Bullet

Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)(i) and section 170(h)(4)(B)(ii)? .............................

Yes No

In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and
balance sheet, and include, if applicable, the text of the footnote to the organization’s financial statements that describes
the organization’s accounting for conservation easements.

Part III

Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.
Complete if the organization answered "Yes" on Form 990, Part IV, line 8.

If the organization elected, as permitted under FASB ASC 958, not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIII, the text of the footnote to its financial statements that describes these items.

If the organization elected, as permitted under FASB ASC 958, to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items:

(i)

Revenue included on Form 990, Part VIII, line 1 ......................... SchDMd Bullet

(ii)

Assets included in Form 990, Part X ............................... SchDMd Bullet

If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the
following amounts required to be reported under FASB ASC 958 relating to these items:

Revenue included on Form 990, Part VIII, line 1 .......................... SchDMd Bullet

Assets included in Form 990, Part X ............................... SchDMd Bullet

For Paperwork Reduction Act Notice, see the Instructions for Form 990.

Cat. No. 52283D

Schedule D (Form 990) 2019

Page 2

Part III

Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)

Using the organization’s acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply):

Public exhibition

Loan or exchange programs

Scholarly research

Other

Preservation for future generations

Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in
Part XIII.

During the year, did the organization solicit or receive donations of art, historical treasures or other similar
assets to be sold to raise funds rather than to be maintained as part of the organization’s collection?...

Yes No

Part IV

Escrow and Custodial Arrangements. Complete if the organization answered "Yes" on Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21.

Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not
included on Form 990, Part X? ....................................

Yes No


b	If "Yes," explain the arrangement in Part XIII and complete the following table:		Amount
c	Beginning balance .............................	1c
d	Additions during the year ............................	1d
e	Distributions during the year ..........................	1e
f	Ending balance ................................	1f

Did the organization include an amount on Form 990, Part X, line 21, for escrow or custodial account liability? ...

Yes No

If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided in Part XIII ....

Part V

Endowment Funds.
Complete if the organization answered "Yes" on Form 990, Part IV, line 10.

		(a) Current year	(b) Prior year	(c) Two years back	(d) Three years back	(e) Four years back

1a	Beginning of year balance ....	4,286,421	4,137,140	4,063,156	3,955,983	4,203,391
b	Contributions ...	67,999	95,190	50,121	101,321	2,008
c	Net investment earnings, gains, and losses	2,675	54,555	30,779	29,484	65,944
d	Grants or scholarships ...
e	Other expenditures for facilities and programs ...	81,347	464	6,916	23,632	315,360
f	Administrative expenses ....
g	End of year balance ......	4,275,748	4,286,421	4,137,140	4,063,156	3,955,983

Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:

Board designated or quasi-endowment SchDMd Bullet

91.290 %

Permanent endowment SchDMd Bullet

7.540 %

Term endowment SchDMd Bullet

1.170 %

The percentages on lines 2a, 2b, and 2c should equal 100%.

Are there endowment funds not in the possession of the organization that are held and administered for the
organization by:

Yes

(i) Unrelated organizations .................

3a(i)

(ii) Related organizations .................

3a(ii)

If "Yes" on 3a(ii), are the related organizations listed as required on Schedule R? .........

Describe in Part XIII the intended uses of the organization's endowment funds.

Part VI

Land, Buildings, and Equipment.
Complete if the organization answered "Yes" on Form 990, Part IV, line 11a. See Form 990, Part X, line 10.

Description of property		(a) Cost or other basis (investment)	(b) Cost or other basis (other)	(c) Accumulated depreciation	(d) Book value

1a	Land .....
b	Buildings ....
c	Leasehold improvements	3,336,719	2,142,712	1,194,007
d	Equipment ....	479,915	171,317	308,598
e	Other .....	21,652	5,493	16,159
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).)..				1,518,764

Schedule D (Form 990) 2019

Page 3

Part VII

InvestmentsOther Securities.
Complete if the organization answered "Yes" on Form 990, Part IV, line 11b. See Form 990, Part X, line 12.

(a) Description of security or category (including name of security)	(b) Book value	(c) Method of valuation: Cost or end-of-year market value
(1) Financial derivatives.........
(2) Closely-held equity interests........
(3)Other
(B)
(C)
(D)
(E)
(F)
(G)
(H)
(I)
Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)

Part VIII

InvestmentsProgram Related. Complete if the organization answered 'Yes' on Form 990, Part IV, line 11c. See Form 990, Part X, line 13.

(a) Description of investment	(b) Book value	(c) Method of valuation: Cost or end-of-year market value

(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 13.)

Part IX

Other Assets.
Complete if the organization answered 'Yes' on Form 990, Part IV, line 11d. See Form 990, Part X, line 15.

(a) Description				(b) Book value

(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 15.)...........

Part X

Other Liabilities.
Complete if the organization answered 'Yes' on Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.

1.(a) Description of liability	(b) Book value
(1) Federal income taxes
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)	990,846
2. Liability for uncertain tax positions. In Part XIII, provide the text of the footnote to the organization's financial statements that reports the organization's liability for uncertain tax positions under FIN 48 (ASC 740). Check here if the text of the footnote has been provided in Part XIII

Schedule D (Form 990) 2019

Page 4

Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return. Complete if the organization answered 'Yes' on Form 990, Part IV, line 12a.
1	Total revenue, gains, and other support per audited financial statements .......			1	6,011,726
2	Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a	Net unrealized gains (losses) on investments ....	2a	787
b	Donated services and use of facilities .........	2b	253,140
c	Recoveries of prior year grants ...........	2c
d	Other (Describe in Part XIII.) ............	2d	1,155
e	Add lines 2a through 2d .....................			2e	255,082
3	Subtract line 2e from line 1..................			3	5,756,644
4	Amounts included on Form 990, Part VIII, line 12, but not on line 1:
a	Investment expenses not included on Form 990, Part VIII, line 7b .	4a
b	Other (Describe in Part XIII.) ...........	4b
c	Add lines 4a and 4b....................			4c	0
5	Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ......			5	5,756,644

Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Complete if the organization answered 'Yes' on Form 990, Part IV, line 12a.
1	Total expenses and losses per audited financial statements ...........			1	5,713,009
2	Amounts included on line 1 but not on Form 990, Part IX, line 25:
a	Donated services and use of facilities .........	2a	253,140
b	Prior year adjustments ............	2b
c	Other losses ................	2c
d	Other (Describe in Part XIII.) ............	2d	1,155
e	Add lines 2a through 2d....................			2e	254,295
3	Subtract line 2e from line 1...................			3	5,458,714
4	Amounts included on Form 990, Part IX, line 25, but not on line 1:
a	Investment expenses not included on Form 990, Part VIII, line 7b ..	4a
b	Other (Describe in Part XIII.) ............	4b
c	Add lines 4a and 4b.....................			4c	0
5	Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ......			5	5,458,714

Part XIII

Supplemental Information

Provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part lV, lines 1b and 2b; Part V, line 4; Part X, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.

Return Reference	Explanation
PART V, LINE 4:	BOARD DESIGNATED BUILDING FUND: THIS IS A FUND TO BE UTILIZED FOR THE BUILD-OUT AND OCCUPANCY OF REAL ESTATE SPACE FOR THE SOCIETY IN THE FUTURE. BOARD DESIGNATED INITIATIVES FUND: THIS IS A FUND TO BE UTILIZED FOR BOARD DESIGNATED PROJECTS WHICH ARE DEEMED TO BE NEW INITIATIVES, WHICH BENEFIT THE SOCIETY AND ITS MEMBERS. HELOISE HAM SCHOLARSHIP FUND: THE PURPOSE OF THE HELOISE HAM SCHOLARSHIP FUND IS TO IDENTIFY NYC-BASED COLLEGE STUDENTS WORKING TOWARD A DEGREE IN BUSINESS OR FINANCE WHO BASED ON NEED AND INTEREST-DESERVE SCHOLARSHIP AID. RECIPIENTS ARE SELECTED BY THE DIVERSITY AND INCLUSION COMMITTEE. VALUE INVESTING ARCHIVE FUND: THIS IS A FUND ESTABLISHED FOR THE PURPOSE OF ARCHIVING ITEMS OF A FINANCIALLY SIGNIFICANT NATURE, AS DETERMINED BY THE BOARD OF DIRECTORS.
PART XI, LINE 2D - OTHER ADJUSTMENTS:	COST ASSOCIATED WITH BOOKS AND PUBLICATIONS 1,155.
PART XII, LINE 2D - OTHER ADJUSTMENTS:	COST ASSOCIATED WITH BOOKS AND PUBLICATIONS 1,155.

Schedule D (Form 990) 2019

Additional Data

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Schedule I
(Form 990)

Department of the Treasury
Internal Revenue Service

Grants and Other Assistance to Organizations,
Governments and Individuals in the United States

Complete if the organization answered "Yes," on Form 990, Part IV, line 21 or 22.
lBullet

Attach to Form 990.
lBullet

Go to www.irs.gov/Form990 for the latest information.

OMB No. 1545-0047

2019

Open to Public
Inspection

Name of the organization
THE NEW YORK SOCIETY OF SECURITY
ANALYSTS INC

Employer identification number
13-5610350

Part I

General Information on Grants and Assistance

Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and
the selection criteria used to award the grants or assistance? ........................

Yes No

Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States.

Part II

Grants and Other Assistance to Domestic Organizations and Domestic Governments. Complete if the organization answered "Yes" on Form 990, Part IV, line 21, for any recipient

that received more than $5,000. Part II can be duplicated if additional space is needed.

(a) Name and address of organization or government	(b) EIN	(c) IRC section (if applicable)	(d) Amount of cash grant	(e) Amount of non-cash assistance	(f) Method of valuation (book, FMV, appraisal, other)	(g) Description of noncash assistance	(h) Purpose of grant or assistance
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)

Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................. Bullet Image

Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image

For Paperwork Reduction Act Notice, see the Instructions for Form 990.

Cat. No. 50055P

Schedule I (Form 990) 2019

Page 2

Part III

Grants and Other Assistance to Domestic Individuals. Complete if the organization answered "Yes" on Form 990, Part IV, line 22.
Part III can be duplicated if additional space is needed.

(a) Type of grant or assistance	(b) Number of recipients	(c) Amount of cash grant	(d) Amount of noncash assistance	(e) Method of valuation (book, FMV, appraisal, other)	(f) Description of noncash assistance

(1) SCHOLARSHIPS/AWARDS	6	16,250
(1)
(2)
(3)
(4)
(5)
(6)
(7)

Part IV

Supplemental Information. Provide the information required in Part I, line 2; Part III, column (b); and any other additional information.

Return Reference	Explanation
PART I, LINE 2:	GRANT EXPENDITURES - CFA INSTITUTE PROVIDE PROJECT FUNDING GRANTS FOR SPECIFIC PURPOSES AND INITIATIVES. THESE GRANTS GENERALLY DO NOT COVER THE COSTS 100% SO CFANY SEEKS BOARD APPROVAL FOR ANY PROJECTED COSTS THAT MAY EXCEED THE TOTAL AMOUNT OF THE GRANT RECEIVED. WE TRACK ALL EXPENDITURES TO ENSURE WE DO NOT EXCEED THE AMOUNT APPROVED BY OUR BOARD AND/OR TREASURER.

Schedule I (Form 990) 2019

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Schedule J
(Form 990)

Department of the Treasury
Internal Revenue Service

Compensation Information

For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
SchJMediumBullet

Complete if the organization answered "Yes" on Form 990, Part IV, line 23.
SchJMediumBullet

Attach to Form 990.
SchJMediumBullet

Go to www.irs.gov/Form990 for instructions and the latest information.

OMB No. 1545-0047

2019

Open to Public Inspection

Name of the organization

THE NEW YORK SOCIETY OF SECURITY
ANALYSTS INC

Employer identification number

13-5610350

Part I

Questions Regarding Compensation

Yes

Check the appropiate box(es) if the organization provided any of the following to or for a person listed on Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.

First-class or charter travel Housing allowance or residence for personal use

Travel for companions Payments for business use of personal residence

Tax idemnification and gross-up payments Health or social club dues or initiation fees

Discretionary spending account Personal services (e.g., maid, chauffeur, chef)

If any of the boxes on Line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain .........

Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked on Line 1a? ..

Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.

Compensation committee Written employment contract

Independent compensation consultant Compensation survey or study

Form 990 of other organizations Approval by the board or compensation committee

During the year, did any person listed on Form 990, Part VII, Section A, line 1a, with respect to the filing organization or a related organization:

Receive a severance payment or change-of-control payment? .............

Participate in, or receive payment from, a supplemental nonqualified retirement plan? .........

Participate in, or receive payment from, an equity-based compensation arrangement? .........

If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.

Only 501(c)(3), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.

For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:

The organization? ....................

Any related organization? .......................

If "Yes," on line 5a or 5b, describe in Part III.

For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:

The organization? ..................

Any related organization? ......................

If "Yes," on line 6a or 6b, describe in Part III.

For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any nonfixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............

Were any amounts reported on Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III ..........................

If "Yes" on line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................

For Paperwork Reduction Act Notice, see the Instructions for Form 990.

Cat. No. 50053T

Schedule J (Form 990) 2019

Page 2

Part II

Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed.

For each individual whose compensation must be reported on Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions, on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.
Note. The sum of columns (B)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.

(A) Name and Title		(B) Breakdown of W-2 and/or 1099-MISC compensation			(C) Retirement and other deferred compensation	(D) Nontaxable benefits	(E) Total of columns (B)(i)-(D)	(F) Compensation in column (B) reported as deferred on prior Form 990
(A) Name and Title		(i) Base compensation	(ii) Bonus & incentive compensation	(iii) Other reportable compensation	(C) Retirement and other deferred compensation	(D) Nontaxable benefits	(E) Total of columns (B)(i)-(D)
1DANIEL DAGEN CHIEF EXECUTIVE OFFICER	(i) (ii)	259,298 ------------- 0	100,000 ------------- 0	0 ------------- 0	28,819 ------------- 0	11,176 ------------- 0	399,293 ------------- 0	0 ------------- 0
2JAMES CEMPROLA DIRECTOR OF INSTITUTIONAL ENGAGEMENT	(i) (ii)	155,497 ------------- 0	7,515 ------------- 0	0 ------------- 0	4,578 ------------- 0	21,832 ------------- 0	189,422 ------------- 0	0 ------------- 0
3STEVEN FRASIER DIRECTOR OF FINANCE & BENEFITS	(i) (ii)	126,181 ------------- 0	16,921 ------------- 0	0 ------------- 0	10,340 ------------- 0	16,725 ------------- 0	170,167 ------------- 0	0 ------------- 0

Schedule J (Form 990) 2019

Page 3

Part III

Supplemental Information

Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II. Also complete this part for any additional information.

Return Reference	Explanation

Schedule J (Form 990) 2019

Additional Data

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Software Version:

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SCHEDULE O
(Form 990 or 990-EZ)

Department of the Treasury
Internal Revenue Service

Supplemental Information to Form 990 or 990-EZ

Complete to provide information for responses to specific questions on
Form 990 or 990-EZ or to provide any additional information.
MediumBullet

Attach to Form 990 or 990-EZ.
MediumBullet

Go to www.irs.gov/Form990 for the latest information.

OMB No. 1545-0047

2019

Open to Public
Inspection

Name of the organization

THE NEW YORK SOCIETY OF SECURITY
ANALYSTS INC

Employer identification number

13-5610350

Return Reference	Explanation
PART III - LINE 1	THE MISSION OF THE NEW YORK SOCIETY OF SECURITY ANALYSTS, INC. (THE "SOCIETY") DOING BUSINESS AS CFA SOCIETY NEW YORK IS TO SERVE THE NEEDS OF ALL MEMBERS AND INVESTMENT PROFESSIONALS AND TO EDUCATE THE INVESTING PUBLIC. THE FUNDAMENTAL OBJECTIVES OF THE SOCIETY ARE: TO PROVIDE THE PREMIER FORUM FOR THE EXCHANGE OF INFORMATION AMONG INVESTMENT PROFESSIONALS, CORPORATE MANAGEMENT, AND OTHER INTERESTED MEMBERS OF THE PUBLIC; TO MAINTAIN AN ACTIVE PROGRAM OF LEADERSHIP DEVELOPMENT, CAREER ASSISTANCE, AND CONTINUING EDUCATION; TO ENCOURAGE THE PURSUIT OF HIGH STANDARDS OF ETHICS AND PROFESSIONAL CONDUCT, AND TO PROMOTE INTEGRITY AND PROFESSIONALISM.
FORM 990, PART III, LINE 3	THE ORGANIZATION CEASED IN-PERSON EVENTS DUE TO THE PANDEMIC IN MARCH 2020 AND PIVOTED TO CONDUCTING VIRTUAL EVENTS FOR THE REMAINDER OF THE FISCAL YEAR. THIS FORMAT WILL CONTINUE UNTIL THE ENVIRONMENT IMPROVES AND WE ARE ALLOWED TO FACILITATE IN-PERSON EVENTS.
FORM 990, PART VI, SECTION A, LINE 6	THE NEW YORK STATE SOCIETY OF SECURITY ANALYSTS, INC. WAS INCORPORATED AS A MEMBERSHIP ORGANIZATION.
FORM 990, PART VI, SECTION A, LINE 7A	EVERY MEMBERSHIP MEETING SHALL BE HELD AT THE SOCIETY'S OFFICE OR AT SUCH OTHER PLACE IN OR OUT OF THE STATE OF NEW YORK AS SHALL BE SPECIFIED OR FIXED IN THE NOTICE OF SUCH MEETING. A MEETING OF MEMBERS SHALL BE HELD ANNUALLY FOR THE ELECTION OF OFFICERS AND DIRECTORS AND FOR THE TRANSACTION OF OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING. THE ORDER OF ELECTION SHALL BE: (1) CHAIR; (2) VICE CHAIR; (3) SECRETARY; (4) TREASURER; (5) DIRECTORS; (6) NOMINATIONS COMMITTEE MEMBERS. THE ANNUAL MEETING OF MEMBERS SHALL BE HELD EACH YEAR AT SUCH DATE AND/OR TIME FIXED BY THE BOARD BY RESOLUTION AND AS SET FORTH IN THE NOTICE THEREOF. THE MEMBERSHIP SHALL APPOINT THE INDEPENDENT AUDITORS TO AUDIT THE SOCIETY'S BOOKS. FOR THE PURPOSE OF DETERMINING THE MEMBERS ENTITLED TO NOTICE OF, OR TO VOTE AT, ANY MEMBERSHIP MEETING OR ANY ADJOURNMENT THEREOF, OR FOR THE PURPOSE OF ANY OTHER ACTION, THE BOARD MAY FIX, IN ADVANCE, A DATE AS THE RECORD DATE FOR ANY SUCH DETERMINATION OF MEMBERS. SUCH DATE SHALL NOT BE MORE THAN FIFTY (50) NOR LESS THAN TEN (10) DAYS BEFORE THE DATE OF SUCH MEETING. EXCEPT AS OTHERWISE PROVIDED IN THE NOT-FOR-PROFIT CORPORATION LAW OR THESE BYLAWS, WRITTEN NOTICE STATING THE PLACE, DATE, AND TIME OF THE MEETING, GENERAL NATURE OF BUSINESS TO BE CONSIDERED AND UNLESS IT IS THE ANNUAL MEETING OF MEMBERS, INDICATING THAT IT IS BEING ISSUED BY OR AT THE DIRECTION OF THE PERSON OR PERSONS CALLING THE MEETING, SHALL BE GIVEN NOT LESS THAN TEN (10) NOR MORE THAN FIFTY (50) DAYS BEFORE THE DATE OF THE MEETING TO EACH MEMBER ENTITLED TO RECEIVE NOTICE OF OR TO VOTE AT SUCH MEETING. IF MAILED, SUCH NOTICE SHALL BE DEEMED TO BE GIVEN WHEN DEPOSITED IN THE UNITED STATES MAIL, POSTAGE PREPAID, DIRECTED TO THE MEMBER AT HIS ADDRESS AS IT APPEARS ON THE SOCIETY'S RECORDS. SUBJECT TO NOT-FOR-PROFIT CORPORATION LAW, ELECTRONIC NOTICE SHALL CONSTITUTE PERMITTED NOTICE HEREUNDER. EVERY MEMBER ENTITLED TO VOTE AT A MEMBERSHIP MEETING OR TO EXPRESS CONSENT OR DISSENT WITHOUT A MEETING MAY AUTHORIZE ANOTHER MEMBER OR MEMBERS TO ACT FOR SUCH AUTHORIZING MEMBER BY PROXY. THE VALIDITY AND ENFORCEABILITY OF ANY PROXY SHALL BE DETERMINED IN ACCORDANCE WITH SECTION 609 OF THE NOT-FOR-PROFIT CORPORATION LAW. EVERY CFA CHARTER HOLDER MEMBER AND HONORARY MEMBER OF RECORD SHALL BE ENTITLED AT EVERY MEMBERSHIP MEETING TO ONE (1) VOTE ON EACH ISSUE AND FOR EACH DIRECTOR AND MEMBER OF THE NOMINATIONS COMMITTEE BEING VOTED ON. ALL OTHER MATTERS EXCEPT AS OTHERWISE PROVIDED BY LAW OR BY THE CERTIFICATE OF INCORPORATION OR BY THE BY-LAWS SHALL BE DECIDED BY A MAJORITY OF THE VOTES CAST BY MEMBERS PRESENT IN PERSON OR BY PROXY AT A MEMBERSHIP MEETING ENTITLED TO VOTE. EXCEPT AS OTHERWISE PROVIDED IN THE CERTIFICATE OF INCORPORATION, THE SOCIETY'S AFFAIRS SHALL BE GOVERNED BY ITS BOARD. THE BOARD MAY EXERCISE ALL POWERS AND PERFORM ALL ACTS TO EFFECTUATE THE SOCIETY'S PURPOSES EXCEPT THOSE RESERVED TO THE CFA CHARTER HOLDER MEMBERS BY THE BY-LAWS OR THE CERTIFICATE OF INCORPORATION OR BY LAW.
FORM 990, PART VI, SECTION B, LINE 11B	THE CEO, CHAIRMAN, VICE-CHAIR, SECRETARY OR TREASURER WILL REVIEW THE DRAFT FORM 990 PRIOR TO FILING.
FORM 990, PART VI, SECTION B, LINE 12C	THE CEO CIRCULATES THE CONFLICT OF INTEREST FORM TO ALL OFFICERS, DIRECTORS AND MANAGING DIRECTORS ANNUALLY. ANY DISCLOSED CONFLICTS ARE DEALT WITH ON A SITUATIONAL BASIS, WITH THE ULTIMATE COURSE OF ACTION DETERMINED BY WHAT IS IN THE BEST INTEREST OF THE SOCIETY.
FORM 990, PART VI, SECTION B, LINE 15	SELECTION COMMITTEE HAS THE DISCRETION WHILE REVIEWING COMPARABILITY DATA ANNUALLY TO APPROVE SALARY LEVELS. THE SOCIETY DOES NOT COMPENSATE ANY BOARD OF DIRECTORS.
FORM 990, PART VI, SECTION C, LINE 19	THE SOCIETY MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE ON THE SOCIETY'S WEBSITE.

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.

Cat. No. 51056K

Schedule O (Form 990 or 990-EZ) 2019

Additional Data

Software ID:
Software Version:

		Prior Year	Current Year
8	Contributions and grants (Part VIII, line 1h) .........	3,291,880	3,676,767
9	Program service revenue (Part VIII, line 2g) .........	1,835,951	976,261
10	Investment income (Part VIII, column (A), lines 3, 4, and 7d ) ....	48,118	21,645
11	Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e)	1,421,359	1,081,971
12	Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12)	6,597,308	5,756,644
13	Grants and similar amounts paid (Part IX, column (A), lines 1–3 )...	14,000	16,250
14	Benefits paid to or for members (Part IX, column (A), line 4).....	0	0
15	Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10)	2,573,379	2,328,031
16a	Professional fundraising fees (Part IX, column (A), line 11e) .....	0	0
b	Total fundraising expenses (Part IX, column (D), line 25) 0
17	Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e)....	3,070,247	3,114,433
18	Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25)	5,657,626	5,458,714
19	Revenue less expenses. Subtract line 18 from line 12.......	939,682	297,930
		Beginning of Current Year	End of Year
20	Total assets (Part X, line 16).............	11,970,301	12,093,185
21	Total liabilities (Part X, line 26).............	4,854,035	4,678,202
22	Net assets or fund balances. Subtract line 21 from line 20.....	7,116,266	7,414,983

Sign Here

	Signature of officer	Date

	Type or print name and title


4a	(Code: ) (Expenses $ 2,428,325 including grants of $ ) (Revenue $ 358,316 )
	SEMINARS AND PRESENTATIONS - HOSTED 97 LIVE AND VIRTUAL CONFERENCES, SEMINARS AND PROGRAMS ATTENDED BY 12,546 ATTENDEES.

4b	(Code: ) (Expenses $ 1,898,798 including grants of $ ) (Revenue $ )
	MEMBERSHIP ACTIVITIES - MAINTAINED A DATABASE FOR MEMBERS, PROVIDED EXCLUSIVE MEMBER ONLY NETWORKING EVENTS, WEEKLY DIGITAL NEWSLETTER AND JOB BOARD FOR APPROXIMATELY 12,192 MEMBERS. CONDUCTED 104 LIVE AND VIRTUAL EVENTS AND MEETINGS WITH ATTENDANCE OF 3,384 FOR MEMBERS.

4c	(Code: ) (Expenses $ 762,331 including grants of $ 16,250 ) (Revenue $ 723,854 )
	EDUCATIONAL ACTIVITIES - CONDUCTED 63 LIVE AND VIRTUAL CLASSES SERVING MORE THAN 6,401 IN REGISTRANTS.

4d	Other program services (Describe in Schedule O.)
	(Expenses $ including grants of $ ) (Revenue $ )
4e	Total program service expenses5,089,454

1b	Sub-Total................
c	Total from continuation sheets to Part VII, Section A....
d	Total (add lines 1b and 1c)...........	1,019,423	0	138,378

(A) Name and business address	(B) Description of services	(C) Compensation





2 Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization 0

1	Briefly describe the organization’s mission or most significant activities: TO ASSIST AND EDUCATE THE PROFESSIONAL, AS WELL AS THE PUBLIC.
2	Check this box
3	Number of voting members of the governing body (Part VI, line 1a) ........	3	12
4	Number of independent voting members of the governing body (Part VI, line 1b) .....	4	12
5	Total number of individuals employed in calendar year 2019 (Part V, line 2a) ......	5	19
6	Total number of volunteers (estimate if necessary) .............	6	12
7a	Total unrelated business revenue from Part VIII, column (C), line 12 ........	7a	228,630
b	Net unrelated business taxable income from Form 990-T, line 39 .........	7b	-228,268

(A) Name and title	(B) Average hours per week (list any hours for related organizations below dotted line)	(C) Position (do not check more than one box, unless person is both an officer and a director/trustee)	(D) Reportable compensation from the organization (W-2/1099-MISC)	(E) Reportable compensation from related organizations (W-2/1099-MISC)	(F) Estimated amount of other compensation from the organization and related organizations
(A) Name and title
(18) KRIS J THIESSEN CFA CAIA EA........................................................................ DIRECTOR	3.00 .......................	X	0	0	0

1a	Federated campaigns..		1a
b	Membership dues..		1b	2,902,797
c	Fundraising events..		1c
d	Related organizations		1d
e	Government grants (contributions)		1e	373,780

f	All other contributions, gifts, grants, and similar amounts not included above		1f	400,190

g	Noncash contributions included in lines 1a - 1f:$		1g

h Total. Add lines 1a-1f.......		3,676,767

		Business Code
2a	EDUCATION	900099	617,945	617,945
b	SEMINARS	900099	358,316	358,316
c
d
e
f	All other program service revenue.
g	Total. Add lines 2a–2f .....		976,261

3 Investment income (including dividends, interest, and othersimilar amounts) ......			21,645			21,645
4 Income from investment of tax-exempt bond proceeds
5 Royalties...........			21,694			21,694
		(ii) Personal	(i) Real
6a	Gross rents		228,630	6a
b	Less: rental expenses		0	6b
c	Rental income or (loss)		228,630	6c
d	Net rental income or (loss).......			228,630		228,630
		(ii) Other	(i) Securities
7a	Gross amount from sales of assets other than inventory		695,000	7a
b	Less: cost or other basis and sales expenses		695,000	7b
c	Gain or (loss)		0	7c
d	Net gain or (loss).........
8a	Gross income from fundraising events (not including $ of contributions reported on line 1c). See Part IV, line 18 ....
			8a
b	Less: direct expenses ...		8b
c	Net income or (loss) from fundraising events..
9a	Gross income from gaming activities. See Part IV, line 19 ...
			9a
b	Less: direct expenses ...		9b
c	Net income or (loss) from gaming activities..
10a	Gross sales of inventory, less returns and allowances ..
			10a	157
b	Less: cost of goods sold ..		10b	1,155
c	Net income or (loss) from sales of inventory..			-998	-998
Business Code			Miscellaneous Revenue
11a	CFA INSTITUTE NEW INITIATIVE		900099	608,711	608,711
b	SPCL ACTIVITY DINNER		900099	164,595	164,595
c	CORPORATE SPONSORSHIP		900099	36,600	36,600
d	All other revenue ....			22,739	22,739
e	Total. Add lines 11a–11d ......			832,645
12	Total revenue. See instructions.....			5,756,644	1,807,908	228,630	43,339

1	Grants and other assistance to domestic organizations and domestic governments. See Part IV, line 21 ....
2	Grants and other assistance to domestic individuals. See Part IV, line 22 ...........	16,250	16,250
3	Grants and other assistance to foreign organizations, foreign governments, and foreign individuals. See Part IV, lines 15 and 16. .............
4	Benefits paid to or for members .......
5	Compensation of current officers, directors, trustees, and key employees ...........	376,836	363,082	13,754
6	Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .........
7	Other salaries and wages........	1,580,343	1,522,661	57,682
8	Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) ....	62,779	60,488	2,291
9	Other employee benefits .......	151,943	146,396	5,547
10	Payroll taxes ...........	156,130	150,431	5,699
11	Fees for services (non-employees):
a	Management ......
b	Legal .........	233,928	193,725	40,203
c	Accounting ...........	36,000	29,813	6,187
d	Lobbying ...........
e	Professional fundraising services. See Part IV, line 17
f	Investment management fees ......
g	Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O)	502,469	416,115	86,354
12	Advertising and promotion ....	65,127	63,907	1,220
13	Office expenses .......	208,921	200,213	8,708
14	Information technology ......	183,293	176,735	6,558
15	Royalties ..
16	Occupancy ...........	1,036,107	927,584	108,523
17	Travel ............
18	Payments of travel or entertainment expenses for any federal, state, or local public officials .
19	Conferences, conventions, and meetings ....
20	Interest ...........
21	Payments to affiliates .......
22	Depreciation, depletion, and amortization ..	330,656	317,167	13,489
23	Insurance ...
24	Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24e. If line 24e amount exceeds 10% of line 25, column (A) amount, list line 24e expenses on Schedule O.)
a	MEALS & ENTERTAINMENT	170,518	170,518
b	CATERING	170,264	158,423	11,841
c	BOOKS AND PUBLICATIONS	113,286	113,286
d	MISCELLANEOUS	32,993	32,546	447
e	All other expenses	30,871	30,114	757
25	Total functional expenses. Add lines 1 through 24e	5,458,714	5,089,454	369,260	0
26	Joint costs. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation. Check here if following SOP 98-2 (ASC 958-720).

1	Cash–non-interest-bearing ........			597	1	32
2	Savings and temporary cash investments .........			9,073,289	2	9,051,120
3	Pledges and grants receivable, net ......				3
4	Accounts receivable, net .............			1,033,757	4	1,437,192
5	Loans and other payables to any current or former officer, director, trustee, key employee, creator or founder, substantial contributor, or 35% controlled entity or family member of any of these persons .......
					5
6	Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), and persons described in section 4958(c)(3)(B) ...
					6
7	Notes and loans receivable, net ...........				7
8	Inventories for sale or use ............				8
9	Prepaid expenses and deferred charges ......			203,094	9	86,077
10a	Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D	10a	3,838,286
b	Less: accumulated depreciation	10b	2,319,522	1,659,564	10c	1,518,764
11	Investments—publicly traded securities .				11
12	Investments—other securities. See Part IV, line 11 .....				12
13	Investments—program-related. See Part IV, line 11 ..				13
14	Intangible assets ...............				14
15	Other assets. See Part IV, line 11 ...........				15
16	Total assets. Add lines 1 through 15 (must equal line 33)...			11,970,301	16	12,093,185

17	Accounts payable and accrued expenses .....	343,634	17	201,879
18	Grants payable ...		18
19	Deferred revenue .........	3,382,268	19	3,485,477
20	Tax-exempt bond liabilities .........		20
21	Escrow or custodial account liability. Complete Part IV of Schedule D		21
22	Loans and other payables to any current or former officer, director, trustee, key employee, creator or founder, substantial contributor, or 35% controlled entity or family member of any of these persons .........
			22
23	Secured mortgages and notes payable to unrelated third parties ..		23
24	Unsecured notes and loans payable to unrelated third parties ..		24
25	Other liabilities (including federal income tax, payables to related third parties, and other liabilities not included on lines 17 - 24). Complete Part X of Schedule D	1,128,133	25	990,846
26	Total liabilities. Add lines 17 through 25..	4,854,035	26	4,678,202

	Organizations that follow FASB ASC 958, check here and complete lines 27, 28, 32, and 33.
27	Net assets without donor restrictions ..........	6,664,807	27	7,042,613
28	Net assets with donor restrictions ...........	451,459	28	372,370
	Organizations that do not follow FASB ASC 958, check here and complete lines 29 through 33.
29	Capital stock or trust principal, or current funds .....		29
30	Paid-in or capital surplus, or land, building or equipment fund ...		30
31	Retained earnings, endowment, accumulated income, or other funds		31
32	Total net assets or fund balances ...........	7,116,266	32	7,414,983
33	Total liabilities and net assets/fund balances ........	11,970,301	33	12,093,185