{
  "crd_number": 43793,
  "slug": "usi-securities-inc-glastonbury-ct-43793",
  "primary_business_name": "USI SECURITIES, INC.",
  "legal_name": "USI SECURITIES, INC.",
  "dbas": [],
  "city": "Glastonbury",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "25540",
  "metro": {
    "cbsa_code": "25540",
    "common_name": "Hartford",
    "msa_name": "Hartford-West Hartford-East Hartford, CT",
    "path": "/advisors/ct/hartford"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1999-06-04",
  "years_registered": 27,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": 30,
  "advisory_employees": 24,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 0.0,
      "count": null
    },
    "pension_profit_sharing": {
      "raum": null,
      "count": 163
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "IA",
    "IL",
    "IN",
    "KS",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NV",
    "NY",
    "OH",
    "OR",
    "PA",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/43793",
  "city_as_filed": "GLASTONBURY",
  "url": "https://advisorcensus.com/firm/usi-securities-inc-glastonbury-ct-43793",
  "display_name": "USI Securities, Inc.",
  "summary": "USI Securities, Inc. is an SEC-registered investment advisory firm in Glastonbury, CT, registered since 1999, with no regulatory assets under management reported in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. USI Securities, Inc. (CRD 43793): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Other"
  ],
  "advisory_activity_labels": [
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is USI Securities, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), USI Securities, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other."
    },
    {
      "q": "Where is USI Securities, Inc. located?",
      "a": "USI Securities, Inc.'s principal office is in Glastonbury, CT, according to its Form ADV; the April 2026 filing also lists 21 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is USI Securities, Inc. registered with the SEC or a state?",
      "a": "USI Securities, Inc. is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 43793."
    },
    {
      "q": "How have USI Securities, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for USI Securities, Inc.: Total employees: 13 in October 2021 and 30 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does USI Securities, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (163)."
    },
    {
      "q": "Does USI Securities, Inc. report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/43793"
    },
    {
      "q": "What changed in USI Securities, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 19 to 24. Added an office in Brookfield, WI. Added an office in Denver, CO. Added an office in Irvine, CA. Added an office in Metairie, LA. Added an office in Overland Park, KS. Added an office in Rochester, NY. Added an office in Tampa, FL. No longer lists an office in Cleveland, OH. Registered or notice-filed in VT."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 13,
      "filing_date": "2021-07-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 12,
      "filing_date": "2022-08-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 20,
      "filing_date": "2023-06-29"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 24,
      "filing_date": "2024-08-08"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 25,
      "filing_date": "2025-05-28"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 30,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 19 to 24.",
        "Added an office in Brookfield, WI.",
        "Added an office in Denver, CO.",
        "Added an office in Irvine, CA.",
        "Added an office in Metairie, LA.",
        "Added an office in Overland Park, KS.",
        "Added an office in Rochester, NY.",
        "Added an office in Tampa, FL.",
        "No longer lists an office in Cleveland, OH.",
        "Registered or notice-filed in VT."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/usi-securities-inc-glastonbury-ct-43793.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 163,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/43793",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}