Usi Securities, Inc

CRD#43793
Investment Advisor Firm

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Learn more about Usi Securities, Inc

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Usi Securities, Inc is located at 95 Glastonbury Blvd., Glastonbury, CT. The firm employs 19 financial advisors to manage client portfolios and provide financial guidance. Usi Securities, Inc is a registered broker-dealer.

    Usi Securities, Inc offers services including the selection of other advisers. The firm caters to pension plans, which are also the largest client type by accounts. The fee structure at Usi Securities, Inc includes asset-based, hourly, fixed, and other fees. The firm maintains affiliations with a broker-dealer or securities dealer, an insurance company or agency, and a pension consultant.

    Usi Securities, Inc is registered in the states of Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Nebraska, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, and West Virginia.

    Number of Advisors

    19

    Disclosures

    No

    Office Location

    95 Glastonbury Blvd.
    Glastonbury, CT 06033

    Usi Securities, Inc by the Numbers

    Total Number of Employees

    24

    National Average: 64
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    Products and Services

    Services offered by Usi Securities, Inc include selection of other advisers. Notably, Usi Securities, Inc did not provide financial planning services to any of its customers in the prior financial year. The Firm does sell products or offer services different than investment advisory services to its clients.

    Core Advisor Services

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      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

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      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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      Publication of Periodicals

      This is the publication of various financial education materials.

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      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees charged by financial advisors largely are based on the type of services offered. Fees charged by Usi Securities, Inc likely consist of some combination of the following fee structures: asset-based, hourly, fixed, or other.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Offered by 10% of firms

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

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    Types of Clients

    The company caters to pension plans. Usi Securities, Inc's biggest client group by number of accounts is .

    • High-Net-Worth Individuals* - 0%
    • Other Individuals - 0%
    • Corporations - 100%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Usi Securities, Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Usi Securities, Inc

    Kimberly Wade
    Cincinnati, OH
    Scott Mcquillen
    Minneapolis, MN
    Nicholas Moore
    Blue Bell, PA
    Christopher Moreton
    Glastonbury, CT
    David Graver
    Glastonbury, CT
    Gina D'Amiano
    Fort Lauderdale, FL
    Kimberly Youngerman
    Phoenix, AZ
    Melinda Robidoux
    Glastonbury, CT
    Brian Klecan
    Glastonbury, CT

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