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Chief Operations Officer · USA Financial Securities LLC

James Carroll Jr McConnell

CRD 4679140 · Named on Form ADV at 3 SEC-registered advisers

At a glance

USA Financial Securities LLC, an SEC-registered broker-dealer firm based in ADA, MI with $297 million in regulatory assets, lists James Carroll Jr McConnell on its Form ADV as Chief Operations Officer, a control person. The SEC filings also name James at 2 other registered advisers.

Firms and roles

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James’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
3 firmsLocked
Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Brent David EndersPresident/director/trustee of Brent D. Enders Trust U/a DTD 06/17/2004, USA Financial Securities LLC
  • Michael David WaltersChairman of the Board/chief Executive Officer/director/trustee of the Michael D. Walters Trust U/a DTD 3/13/1996, USA Financial Securities LLC
  • William Clayton BachertChief Financial Officer/financial Operations Principal (primary)/municipal Principal/director, USA Financial Securities LLC
  • Mark Robert MersmanChief Marketing Officer, USA Financial Securities LLC
  • Dawn M ThomasonChief Compliance Officer, USA Financial Securities LLC

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For James’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.