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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

USI SECURITIES, INC.

CRD 43793

GLASTONBURY, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4542398c-4c49-2485-0bd5-c1b3dc8e80c5

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 66
Dated events: 17
On other graphs: 0
Observed: Dec 21, 2011 to Mar 30, 2026
85 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=28.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 26
Employees: 30
Advisory employees: 24
Offices: 21Schedule D 1.F, beyond the principal office
Accounts: 0
SEC number: 801-56578
CRD: 43793
Filings on the tape: 85
First filed: Dec 21, 2011
Latest filed: Mar 30, 2026
Organised: Corporation, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOSEPH JOHN GRITZER	n/a	GLASTONBURY, CT	23	34	n/a	yes
JOHN DAVID FITZGERALD	n/a	GLASTONBURY, CT \| Woburn, MA	6	32	n/a	yes
BRIAN PATRICK JORDAN	n/a	GLASTONBURY, CT	6	18	n/a	yes
MATTHEW A SMITH	n/a	GLASTONBURY, CT \| Austin, TX	5	11	n/a	yes
KRYSTLE ANN KAUFMAN	n/a	FORT LAUDERDALE, FL \| GLASTONBURY, CT	4	16	3	yes
NICHOLAS RYAN MOORE	n/a	GLASTONBURY, CT \| Blue Bell, PA	4	12	n/a	yes
Bernard Peter LeVine	n/a	GLASTONBURY, CT \| CHARLOTTE, NC	4	16	1	yes
Denise Rachelle Scher	n/a	EUGENE, OR \| GLASTONBURY, CT	4	33	4	yes
Terence P Donohue	n/a	GLASTONBURY, CT	3	28	n/a	yes
REBECCA JEAN HILINSKI	n/a	GLASTONBURY, CT \| Brentwood, TN	2	22	2	yes
Brian Christopher Way	n/a	GLASTONBURY, CT \| CONCORD, CA	2	15	1	yes
Michael Dennis O'Rourke	n/a	GLASTONBURY, CT	2	33	1	yes
Wesley Whalen Davis	n/a	Metairie, LA \| GLASTONBURY, CT	1	13	1	yes
Jack Edward Ballinger	n/a	Torrance, CA \| GLASTONBURY, CT	1	12	n/a	yes
Nicholas M Ricciardi	n/a	Florham Park, NJ \| GLASTONBURY, CT	1	10	n/a	yes
Griffin Zahariades	n/a	GLASTONBURY, CT \| Atlanta, GA	0	11	n/a	yes
AMY LYNN JOHNSTON	n/a	GLASTONBURY, CT \| Omaha, NE	0	14	4	no
Dylan Evarts	n/a	GLASTONBURY, CT	0	11	n/a	yes
Andrew Charles Beck	n/a	GLASTONBURY, CT \| Bloomington, MN	0	13	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOWMAN, RICHARD CHARLES	FINOP, DIRECTOR OF OPERATIONS	Na	yes	07/2009	Dec 21, 2011	Nov 19, 2024
GRITZER, JOSEPH JOHN JR	President	Na	yes	04/2006	Dec 21, 2011	Nov 19, 2024
KAPPUS, DAVID L	CHIEF FINANCIAL OFFICER	Na	yes	04/2021	Jun 3, 2021	Nov 19, 2024
ROBIDOUX, MELINDA MCDONALD	CHIEF COMPLIANCE OFFICER	Na	yes	04/2021	Jun 3, 2021	Nov 19, 2024
TREMKO, WILLIAM MICHAEL	CHIEF EXECUTIVE OFFICER	Na	yes	07/2009	Dec 21, 2011	Nov 19, 2024
USIC INVESTMENT GROUP INC.	Shareholder	E	yes	05/2017	Jun 13, 2017	Nov 19, 2024
USIR MANAGEMENT LLC	CLASS A SHAREHOLDER	F	yes	05/2017	Jun 13, 2017	Nov 19, 2024
NEWBORN, ERNEST JOSHUA	DIRECTOR/SECRETARY	Na	no	10/1998	Dec 21, 2011	Nov 19, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
USI ADVISORS, INC.	n/a	Institutional manager	$56B	N	yes	n/a
USI CONSULTING GROUP, INC.	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
FORT LAUDERDALE	FL	United States	2	yes
Concord	CA	United States	1	yes
Irvine	CA	United States	1	yes
Atlanta	Ga	United States	1	yes
Woburn	Ma	United States	1	yes
Bloomington	Mn	United States	1	yes
Charlotte	Nc	United States	1	yes
FLORHAM PARK	Nj	United States	1	yes
Cincinnati	Oh	United States	1	yes
Eugene	Or	United States	1	yes
BLUE BELL	Pa	United States	1	yes
Pittsburgh	Pa	United States	1	yes
Brentwood	Tn	United States	1	no
Austin	TX	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$0	$0	30	24	21	n/a	n/a
2024	Mar 28, 2025	$0	$0	25	19	15	n/a	n/a
2023	Mar 28, 2024	n/a	n/a	24	19	14	n/a	n/a
2022	Mar 30, 2023	n/a	n/a	20	15	10	n/a	n/a
2021	Mar 30, 2022	n/a	n/a	12	7	5	n/a	n/a
2020	Mar 30, 2021	n/a	n/a	13	6	4	n/a	n/a
2019	Mar 27, 2020	n/a	n/a	9	2	2	n/a	n/a
2018	Mar 8, 2019	n/a	n/a	7	2	1	n/a	n/a
2017	Mar 26, 2018	n/a	n/a	5	2	1	n/a	n/a
2016	Mar 24, 2017	n/a	n/a	5	2	n/a	n/a	n/a
2015	Mar 29, 2016	n/a	n/a	5	3	n/a	n/a	n/a
2014	Mar 31, 2015	n/a	n/a	5	4	n/a	n/a	n/a
2013	Mar 28, 2014	n/a	n/a	5	4	n/a	n/a	n/a
2012	Mar 26, 2013	n/a	n/a	10	5	n/a	n/a	n/a
2011	Feb 1, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
4	7	-3	26.9%	3	1	0	13	11

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	30	25	21	15

Relationships

Registered with (54)

← Andrew Charles BeckAdvisorregistration: current employment
Sep 2, 2026 to presentfactForm ADV
← Dylan EvartsAdvisorregistration: current employment
Aug 22, 2026 to presentfactForm ADV
← AMY LYNN JOHNSTONAdvisorregistration: current employment
Aug 11, 2026 to presentfactForm ADV
← Janet Lynn MooneyAdvisorregistration: current employment
Jul 8, 2026 to presentfactForm ADV
← VINCENT James PIGATIAdvisorregistration: current employment
Feb 10, 2026 to presentfactForm ADV
← Griffin ZahariadesAdvisorregistration: current employment
Jan 8, 2026 to presentfactForm ADV
← BLAKE Montgomery STEVENSAdvisorregistration: current employment
Dec 1, 2025 to presentfactForm ADV
← LISA Marie RIOSAdvisorregistration: current employment
Nov 25, 2025 to presentfactForm ADV
← Terry Wayne SpencerAdvisorregistration: current employment
Sep 16, 2025 to presentfactForm ADV
← Nicholas M RicciardiAdvisorregistration: current employment
Jul 8, 2025 to presentfactForm ADV
← Jack Edward BallingerAdvisorregistration: current employment
Jun 23, 2025 to presentfactForm ADV
← Wesley Whalen DavisAdvisorregistration: current employment
Mar 18, 2025 to presentfactForm ADV
← Michael Dennis O'RourkeAdvisorregistration: current employment
May 17, 2024 to presentfactForm ADV
← Brian Christopher WayAdvisorregistration: current employment
Jan 8, 2024 to presentfactForm ADV
← REBECCA JEAN HILINSKIAdvisorregistration: current employment
Jan 4, 2024 to presentfactForm ADV
← Terence P DonohueAdvisorregistration: current employment
Feb 17, 2023 to presentfactForm ADV
← Denise Rachelle ScherAdvisorregistration: current employment
Sep 16, 2022 to presentfactForm ADV
← MELINDA MCDONALD ROBIDOUXAdvisorregistration: current employment
Jul 25, 2022 to presentfactForm ADV
← Bernard Peter LeVineAdvisorregistration: current employment
Jul 7, 2022 to presentfactForm ADV
← NICHOLAS RYAN MOOREAdvisorregistration: current employment
May 23, 2022 to presentfactForm ADV
← KRYSTLE ANN KAUFMANAdvisorregistration: current employment
Sep 30, 2021 to presentfactForm ADV
← MATTHEW A SMITHAdvisorregistration: current employment
Aug 17, 2021 to presentfactForm ADV
← MICHAEL JASON HABERMANNAdvisorregistration: current employment
May 25, 2021 to presentfactForm ADV
← BRIAN PATRICK JORDANAdvisorregistration: current employment
Aug 14, 2020 to presentfactForm ADV
← JOHN DAVID FITZGERALDAdvisorregistration: current employment
Jul 9, 2020 to presentfactForm ADV
← JOSEPH JOHN GRITZERAdvisorregistration: current employment
Mar 4, 2003 to presentfactForm ADV
← Kimberly J WadeAdvisorregistration: previous registration
Aug 15, 2023 to May 18, 2026factForm ADV
← Scott Daniel McQuillenAdvisorregistration: previous registration
Mar 15, 2023 to May 6, 2026factForm ADV
← Taylor Scott DrahnAdvisorregistration: previous registration
Jan 12, 2026 to Apr 13, 2026factForm ADV
← Kimberly Ann YoungermanAdvisorregistration: previous registration
Jun 3, 2024 to Mar 3, 2026factForm ADV
and 24 more

Affiliated with (4)

→ USI ADVISORSRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
← USI ADVISORSRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← VAN GILDER RETIREMENT SOLUTIONS, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (7)

← GRITZER, JOSEPH JOHN JROwnerPRESIDENT, ownership code NA, individual
Dec 21, 2011 to Nov 19, 2024factForm ADV
← BOWMAN, RICHARD CHARLESOwnerFINOP, DIRECTOR OF OPERATIONS, ownership code NA, individual
Dec 21, 2011 to Nov 19, 2024factForm ADV
← ROBIDOUX, MELINDA MCDONALDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 3, 2021 to Nov 19, 2024factForm ADV
← TREMKO, WILLIAM MICHAELOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Dec 21, 2011 to Nov 19, 2024factForm ADV
← KAPPUS, DAVID LOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 3, 2021 to Nov 19, 2024factForm ADV
← USIC INVESTMENT GROUP INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jun 13, 2017 to Nov 19, 2024factForm ADV
← USIR MANAGEMENT LLCOwnerCLASS A SHAREHOLDER, ownership code F, domestic entity
Jun 13, 2017 to Nov 19, 2024factForm ADV

Owns (1)

← NEWBORN, ERNEST JOSHUAOwnerDIRECTOR/SECRETARY, ownership code NA, individual
Dec 21, 2011 to Nov 19, 2024factForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 19, 2026
Advisor changed firm
Brendan Stewart Dailor left Usi Securities, Inc. for Hornor, Townsend & Kent, LLC (registered 2026-09-16)
Form ADVobserved 4 days ago
Occurred
May 18, 2026
Advisor changed firm
Kimberly J Wade left Usi Securities, Inc. for Mma Securities Llc (registered 2026-06-23)
Form ADVobserved 6 days ago
Occurred
May 6, 2026
Advisor changed firm
Scott Daniel Mcquillen left Usi Securities, Inc. for Assetmark, Inc. (registered 2026-06-16)
Form ADVobserved 6 days ago
Occurred
Apr 13, 2026
Advisor changed firm
Taylor Scott Drahn left Usi Securities, Inc. for Ima Advisory Services, Inc. (registered 2026-07-23)
Form ADVobserved 6 days ago
Occurred
Mar 3, 2026
Advisor changed firm
Kimberly Ann Youngerman left Usi Securities, Inc. for Retirement And Wealth At Alliant, Llc (registered 2026-07-13)
Form ADVobserved 6 days ago
Occurred
Oct 23, 2025
Advisor changed firm
Brian John Klecan left Usi Securities, Inc. for Cbiz Investment Advisory Services, Llc (registered 2026-09-09)
Form ADVobserved 6 days ago
Occurred
Oct 10, 2025
Advisor changed firm
David Anthony Graver left Usi Securities, Inc. for Confluence Financial Partners (registered 2025-10-15)
Form ADVobserved 6 days ago
Occurred
Jun 2, 2025
Advisor changed firm
Anthony V Sambrato left Usi Securities, Inc. for Mml Investors Services, Llc (registered 2025-06-19)
Form ADVobserved 6 days ago
Occurred
Apr 17, 2025
Advisor changed firm
Sam Maxwell Blechman left Usi Securities, Inc. for Onedigital (registered 2025-05-05)
Form ADVobserved 6 days ago
Occurred
Oct 30, 2024
Advisor changed firm
Justin Woolf left Usi Securities, Inc. for T. Rowe Price Associates, Inc. (registered 2024-11-14)
Form ADVobserved 6 days ago
Occurred
Oct 4, 2024
Advisor changed firm
Christopher L Moreton left Usi Securities, Inc. for Brighton Jones Llc (registered 2024-10-22)
Form ADVobserved 6 days ago
Occurred
Jun 3, 2021
Control person left
Susan Meredith Fullwood (Finop) no longer on Schedule A of Usi Securities, Inc. (listed 2021-05-24, absent 2021-06-03)
Form ADVobserved 6 days ago
Occurred
Jun 3, 2021
Control person left
John Frank Vaughn (Chief Compliance Officer) no longer on Schedule A of Usi Securities, Inc. (listed 2021-05-24, absent 2021-06-03)
Form ADVobserved 6 days ago
Occurred
Jun 3, 2021
Control person joined
David L Kappus (Chief Financial Officer) appeared on Schedule A of Usi Securities, Inc.
Form ADVobserved 6 days ago
Occurred
Jun 3, 2021
Control person joined
Melinda Mcdonald Robidoux (Chief Compliance Officer) appeared on Schedule A of Usi Securities, Inc.
Form ADVobserved 6 days ago

Show 2 bookkeeping events

Occurred
Mar 30, 2026
Usi Securities, Inc. reported 21 offices beyond its principal office, up from 15 (2026-01-07 to 2026-03-30)
Occurred
Mar 30, 2023
Usi Securities, Inc. reported 10 offices beyond its principal office, up from 5 (2023-01-20 to 2023-03-30)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4542398c-4c49-2485-0bd5-c1b3dc8e80c5
First observed: Dec 21, 2011
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

USI SECURITIES, INC.

CRD 43793

GLASTONBURY, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4542398c-4c49-2485-0bd5-c1b3dc8e80c5

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:37 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOSEPH JOHN GRITZER

n/a

GLASTONBURY, CT

n/a

yes

JOHN DAVID FITZGERALD

n/a

GLASTONBURY, CT | Woburn, MA

n/a

yes

BRIAN PATRICK JORDAN

n/a

GLASTONBURY, CT

n/a

yes

MATTHEW A SMITH

n/a

GLASTONBURY, CT | Austin, TX

n/a

yes

KRYSTLE ANN KAUFMAN

n/a

FORT LAUDERDALE, FL | GLASTONBURY, CT

yes

NICHOLAS RYAN MOORE

n/a

GLASTONBURY, CT | Blue Bell, PA

n/a

yes

Bernard Peter LeVine

n/a

GLASTONBURY, CT | CHARLOTTE, NC

yes

Denise Rachelle Scher

n/a

EUGENE, OR | GLASTONBURY, CT

yes

Terence P Donohue

n/a

GLASTONBURY, CT

n/a

yes

REBECCA JEAN HILINSKI

n/a

GLASTONBURY, CT | Brentwood, TN

yes

Brian Christopher Way

n/a

GLASTONBURY, CT | CONCORD, CA

yes

Michael Dennis O'Rourke

n/a

GLASTONBURY, CT

yes

Wesley Whalen Davis

n/a

Metairie, LA | GLASTONBURY, CT

yes

Jack Edward Ballinger

n/a

Torrance, CA | GLASTONBURY, CT

n/a

yes

Nicholas M Ricciardi

n/a

Florham Park, NJ | GLASTONBURY, CT

n/a

yes

Griffin Zahariades

n/a

GLASTONBURY, CT | Atlanta, GA

n/a

yes

AMY LYNN JOHNSTON

n/a

GLASTONBURY, CT | Omaha, NE

Dylan Evarts

n/a

GLASTONBURY, CT

n/a

yes

Andrew Charles Beck

n/a

GLASTONBURY, CT | Bloomington, MN

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOWMAN, RICHARD CHARLES

FINOP, DIRECTOR OF OPERATIONS

yes

07/2009

Dec 21, 2011

Nov 19, 2024

GRITZER, JOSEPH JOHN JR

President

yes

04/2006

Dec 21, 2011

Nov 19, 2024

KAPPUS, DAVID L

CHIEF FINANCIAL OFFICER

yes

04/2021

Jun 3, 2021

Nov 19, 2024

ROBIDOUX, MELINDA MCDONALD

CHIEF COMPLIANCE OFFICER

yes

04/2021

Jun 3, 2021

Nov 19, 2024

TREMKO, WILLIAM MICHAEL

CHIEF EXECUTIVE OFFICER

yes

07/2009

Dec 21, 2011

Nov 19, 2024

USIC INVESTMENT GROUP INC.

Shareholder

yes

05/2017

Jun 13, 2017

Nov 19, 2024

USIR MANAGEMENT LLC

CLASS A SHAREHOLDER

yes

05/2017

Jun 13, 2017

Nov 19, 2024

NEWBORN, ERNEST JOSHUA

DIRECTOR/SECRETARY

10/1998

Dec 21, 2011

Nov 19, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

USI ADVISORS, INC.

n/a

Institutional manager

$56B

yes

n/a

USI CONSULTING GROUP, INC.

n/a

City

State

Country

Employees

Also broker-dealer

FORT LAUDERDALE

United States

yes

Concord

United States

yes

Irvine

United States

yes

Atlanta

United States

yes

Woburn

United States

yes

Bloomington

United States

yes

Charlotte

United States

yes

FLORHAM PARK

United States

yes

Cincinnati

United States

yes

Eugene

United States

yes

BLUE BELL

United States

yes

Pittsburgh

United States

yes

Brentwood

United States

Austin

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

n/a

2024

Mar 28, 2025

n/a

2023

Mar 28, 2024

n/a

2022

Mar 30, 2023

n/a

2021

Mar 30, 2022

n/a

2020

Mar 30, 2021

n/a

2019

Mar 27, 2020

n/a

2018

Mar 8, 2019

n/a

2017

Mar 26, 2018

n/a

2016

Mar 24, 2017

n/a

2015

Mar 29, 2016

n/a

2014

Mar 31, 2015

n/a

2013

Mar 28, 2014

n/a

2012

Mar 26, 2013

n/a

2011

Feb 1, 2012

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-3

26.9%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

n/a