Usi Securities, Inc.

Registered investment adviser · Glastonbury, CT · CRD #43793

Form ADV data as of 2026-09-01

Regulatory assets

Total accounts

Employees

Disclosure events

Firm details

Telephone: 860-652-3239
SEC file number: 801-56578
Most recent Form ADV filing: 2026-03-30
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	No
Discretionary regulatory assets under management	$0
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$0
Discretionary accounts	0
Non-discretionary accounts	0
Total accounts	0

People

Total employees (excluding clerical)	30
Employees performing investment advisory functions (including research)	24
Employees who are registered representatives of a broker-dealer	28
Employees registered as investment adviser representatives with a state	24
Employees registered as IARs for another investment adviser	6
Employees who are licensed insurance agents	21
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Other

Advisory services offered

Selection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Insurance company or agencyPension consultant

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Recommends brokers or dealers to clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Pension and profit sharing plans (not the participants or government plans)	163	Not reported