USI SECURITIES, INC.
Adviser information for USI SECURITIES, INC. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 23 |
| Registered State Investment Advisers | 19 |
| Licensed Agents of an Insurance Company | 19 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 105 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 105 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Selection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesBUNDLED CONSULTING AND ADVISORY FEES |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-56578 |
|---|---|
| SEC ERA File Number | 801-56578 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 43793 |
| Legal Entity Identifier | None |
Principal Office
95 GLASTONBURY BLVD.SUITE 102
GLASTONBURY
CT
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: 860-652-3239, Fax: 860-368-2110
Chief Compliance Officer
MELINDA ROBIDOUX
95 GLASTONBURY BLVD.
SUITE 102
GLASTONBURY
CT
United States
Tel:
860-368-2909
M***************@******M
(Full email address available in API data)
Regulatory Contact
JOSEPH GRITZER
PRESIDENT
95 GLASTONBURY BLVD.
SUITE 102
GLASTONBURY
CT
United States
Tel:
860-368-2913
Fax:
610-537-9448
J**********@******M
(Full email address available in API data)
Industry Affiliates
| USI ADVISORS | Other investment adviser, including financial plannersPension consultant |
| USI CONSULTING GROUP | Insurance company or agencyPension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NEWBORN, ERNEST JOSHUA | Individual | – | DIRECTOR/SECRETARY | 10/1998 | < 5% |
| GRITZER, JOSEPH JOHN JR | Individual | – | PRESIDENT | 04/2006 | < 5% |
| BOWMAN, RICHARD CHARLES | Individual | – | FINOP, DIRECTOR OF OPERATIONS | 07/2009 | < 5% |
| TREMKO, WILLIAM MICHAEL | Individual | – | CHIEF EXECUTIVE OFFICER | 07/2009 | < 5% |
| USIC INVESTMENT GROUP INC. | Domestic Entity | – | SHAREHOLDER | 05/2017 | > 75% |
| USIR MANAGEMENT LLC | Domestic Entity | USIC INVESTMENT GROUP INC. | CLASS A SHAREHOLDER | 05/2017 | |
| KAPPUS, DAVID L | Individual | – | CHIEF FINANCIAL OFFICER | 04/2021 | < 5% |
| ROBIDOUX, MELINDA MCDONALD | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2021 | < 5% |