SourcingSourcing

USI SECURITIES, INC.

C36
CRD 43793·SEC 801-56578·GLASTONBURY, CT
AUM
$0
<$25M
Est. Revenue
$0
@ 1% on AUM
Est. EBITDA
$0
@ 30% margin
Est. Deal Value
$0
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
USI SECURITIES, INC.
CRD
43793
SEC file #
801-56578
EIN
133044743
DBA names
—

Economics

AUM
$0
AUM band
<$25M
AUM trajectory
—
Client mix
Pension Profit Sharing Plans163

Operations

Employees (total)
30
Advisory staff (per ADV)
24
Advisory staff (5-yr trend)
'20'26
2 advisors → 24 advisors▲ +1100%
Primary office
GLASTONBURY CT
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Selection of other advisers
Fee basis
% of AUMHourly chargesFixed feesOther Compensation

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
USIC INVESTMENT GROUP INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
8
Control Persons
USIC INVESTMENT GROUP INC.
BOWMAN, RICHARD CHARLES
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
60
Form 5500 Total Compensation
1,255,193
Form 5500 Compensation Trajectory 3y
20251,171,589
202683,604
Form 5500 Plan Count Trajectory 3y
202554
20266
Schedule C Total Compensation
1,255,193
Schedule C Service Provider Rows
60

SEC EDGAR

Edgar Cik
0000727136
Edgar Registered
Yes
Edgar Filing Count
97
Edgar First Filing Date
2002-05-24
Edgar Last Filing Date
2026-03-11
Edgar Form D Count
74
Edgar Form D Offerings
2026-03-112026-03-11 · 0000727136-26-000006
2026-03-112026-03-11 · 0000727136-26-000005
Edgar Former Names
NEW YORK LIFE INSURANCE AND ANNUITY CORP

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4749
Soi Zip Pct 200k Plus
0.2338
Soi Zip Returns 200k Plus
3,500
Soi Zip Total AGI
2,457,920
Fdic Zip Total Deposits
46,728,709,000
Fdic Zip Branch Count
448
Fdic Zip Top Banks
TD Bank, National Association
Bank of America, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (21)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
42
Bc Firm IAR Count
50
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
200 CONTINENTAL DRIVENEWARK, DE 19713
Business
51 MADISON AVENUEC/O NEW YORK LIFE INSURANCE COMPANYNEW YORK, NY 10010
Edgar EIN
133044743
Edgar Recent Filings
D2026-03-11 · 0000727136-26-000006
D2026-03-11 · 0000727136-26-000005
Fdic Zip Branches Raw
Fleet Bank, National AssociationGlastonbury, CT
Fleet Bank, National AssociationGlastonbury, CT
Fdic Zip HHI
1112.67
Fdic Zip Top Bank Share Pct
27.35
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI30,924
Returns2,890
Stub 2
AGI66,993
Returns1,810
Stub 3
AGI103,571
Returns1,650
Soi Zip Total Business Income
87,239
Soi Zip Total Cap Gains
173,419
Soi Zip Total Dividends
76,059
Soi Zip Total Returns
14,970
Trust Company Affiliate
No

People (53)

53
TREMKO, WILLIAM MICHAEL
IAR · Executive Officer · 2.5%
4495149
ROBIDOUX, MELINDA MCDONALD
IAR · Executive Officer · 2.5%
2848093
GRITZER, JOSEPH JOHN JR
IAR · Executive Officer · 2.5%
2162679
BOWMAN, RICHARD CHARLES
IAR · Executive Officer · 2.5%
2356525
CURLEY, MARY
Executive Officer · 2.5%
8207294
KAPPUS, DAVID L
Executive Officer · 2.5%
6837749
Michael Dennis O'Rourke
Executive Officer · 2.5%
1551838
Alison Russell
IAR
4553134
DAVID TYLER HINDERMANN
IAR
4724061
DENNIS JOHN JOSEPH MCGEE
IAR
1300043
EDWARD JOSEPH VICKNAIR
IAR
2746757
DENISE L STRATTON
IAR
4417304
JAMES ALAN CUTLER
IAR
3052043
DEREK JAMES BAILEY
IAR
5234225
RYAN H BOUTWELL
IAR
4321586
BRUNO, SARAH, J
IAR
5090813
REBECCA JEAN HILINSKI
IAR
4478457
STUART SELLARS WALLACE
IAR
3138253
MARVIN DEAVER
IAR
2726857
JOHN DAVID FITZGERALD
IAR
2673880
LISA Marie RIOS
IAR
6766790
BOB RAY CROSS
IAR
2379247
Dylan Evarts
IAR
8171319
MATTHEW A SMITH
IAR
7072748
NICHOLAS RYAN MOORE
IAR
7522651
CHRISTOPHER JOHN MARTIN
IAR
4116944
BORIS MICHAEL NATYSHAK
IAR
2129763
Edward Brett Bronkhorst
IAR
6854756
KIM J THOMAS
IAR
1780853
BRIAN PATRICK JORDAN
IAR
5232434
KATHLEEN ANN SEBETKA
IAR
4252131
Philip Charles Wellde
IAR
4279597
DAVID MICHAEL BRISNEHAN
IAR
5464653
PAUL WARREN DENU
IAR
2137630
MICHAEL SCOTT BANKS
IAR
6927524
Terence P Donohue
IAR
2103059
JOSEPH MICHAEL MATTIA
IAR
3204235
Eric Matthew Sholberg
IAR
4705273
ANNAMARIA BATORY
IAR
5120705
Brian Christopher Way
IAR
5861536
CRYSTAL ANN HILL
IAR
6708869
Daniel Robert Casella
IAR
3092169
KRYSTLE ANN KAUFMAN
IAR
5495326
MICHAEL JASON HABERMANN
IAR
4210639
Wesley Whalen Davis
IAR
4606937
PATRICK MARTIN EDWARDS
IAR
5375696
Griffin Zahariades
IAR
8200416
BART EDWARD BALLINGER
IAR
2304993
Bruce Corcoran
IAR
2321600
Stuart Howard Herskowitz
IAR
2279911
VINCENT James PIGATI
IAR
5928562
Terry Wayne Spencer
IAR
3242558
Bernard Peter LeVine
IAR
5744213