Treasurer · USI Securities, Inc.
David L Kappus
CRD 6837749 · Named on Form ADV at 2 SEC-registered advisers
At a glance
USI Securities, Inc., an SEC-registered broker-dealer firm based in Glastonbury, CT with $0 in regulatory assets, lists David L Kappus on its Form ADV as Treasurer, a control person. The SEC filings also name David at 1 other registered adviser.
Firms and roles
- USI Securities, Inc.TreasurerBroker-dealer firm · Glastonbury, CT · $0M in regulatory assets
- USI AdvisorsTreasurerAsset manager · Glastonbury, CT · $56B in regulatory assets
AtlasMembers
David’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (8)
- Joseph John Jr GritzerPresident, USI Securities, Inc.
- Richard Charles BowmanFinop, Director of Operations, USI Securities, Inc.
- William Michael TremkoChief Executive Officer, USI Securities, Inc.
- Melinda McDonald RobidouxChief Compliance Officer, USI Securities, Inc.
- Mary CurleySecretary, USI Securities, Inc.
3 more people named with David on the same filings, with titles and firms. Free in Atlas with a free account.
See all 8 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For David’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.