Broker-dealer firm · Glastonbury, CT
USI Securities, Inc.
SEC-registered investment adviser · CRD 43793 · SEC 801-56578
At a glance
USI Securities, Inc. is an SEC-registered investment adviser based in Glastonbury, Connecticut, with $0 in regulatory assets under management as of its Form ADV filed March 30, 2026. By Form ADV it is a broker-dealer firm, ranked 377th of 391 broker-dealer firms and 16,566th of 17,210 SEC-registered advisers by assets.
Main office 860-652-3239As filed on Form ADV
- Regulatory AUM
- $0M
- Rank among broker-dealer firms
- #377 of 391
- Rank among all SEC RIAs
- #16,566 of 17,210
- Rank in Connecticut
- #495 of 507
- Clients
- 163
- Accounts
- 0
- Discretionary
- 0% of AUM
- Employees
- 30
- Advisory staff
- 24
- Offices
- 22
Owners and executives on its Form ADV
- Joseph John Jr GritzerPresident
- Richard Charles BowmanFinop, Director of Operations
- William Michael TremkoChief Executive Officer
- David L KappusTreasurer
- Melinda McDonald RobidouxChief Compliance Officer
- Mary CurleySecretary
- Michael Dennis O'RourkeVice President -Compliance & Operations
Custody and brokerage
Custodian
USI Securities, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
USI Securities, Inc. is a hybrid RIA: 28 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Its Form ADV brochure (filed March 2026) names USI Securities as the broker-dealer its advisers are registered with.
Such incidental advice is provided by individuals who are registered representatives of USI Securities ("Broker-Dealer Representatives").
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 163 | $0M | – |
Disciplinary disclosures
USI Securities, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on USI Securities, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 28 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does USI Securities, Inc. manage?
USI Securities, Inc. reports $0 in regulatory assets under management, on its Form ADV filed March 30, 2026.
What kind of firm is USI Securities, Inc.?
USI Securities, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are USI Securities, Inc.’s clients?
By assets, its largest client types are pension and profit sharing plans ($0, 163 clients).
Does USI Securities, Inc. have any disciplinary history?
USI Securities, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is USI Securities, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →