9AT: USI SECURITIES, INC.

USI SECURITIES, INC.

other names

USI SECURITIES, INC.

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 06/04/1999
ADV Location	GLASTONBURY, CT, United States
Contact Info	860 xxxxxxx

AUM^*	0
of that, discretionary
Private Fund GAV^*	0
SMA’s	No
Private Funds	0

Adviser Type

- Related adviser

Number of Employees 30 25%

of those in investment advisory functions 24 26%

Client Types

Advisory Activities

- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

1 1 1 1

2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

USI SECURITIES USI Securities (the “Firm”) was established in 1998 and is registered with the Securities and Exchange Commission as both a broker-dealer and a registered investment adviser. The majority of USI Securities' business activity stems from its role as a broker-dealer, where securities transactions are conducted at the request of a client in return for a commission. A small portion of USI Securities' business activity is derived from its role as a registered investment adviser, where investment advice is provided to retail and institutional plan sponsor clients. ADVICE INCIDENTAL TO BROKERAGE SERVICES USI Securities is registered with the Securities and Exchange Commission as a broker- dealer under the Securities Exchange Act of 1934, and its principal business activity is as a securities broker-dealer. When acting as a broker-dealer, USI Securities may provide investment advice to its customers ("Brokerage Services Customers") which is incidental to the brokerage services provided to such customers and for which USI Securities does not receive any special compensation (i.e., compensation other than the usual and customary commissions paid by customers for brokerage services). Such incidental advice is provided by individuals who are registered representatives of USI Securities ("Broker-Dealer Representatives"). Incidental advice may also be provided by Broker-Dealer Representatives in the form of investment planning services or seminars which are also incidental to their brokerage services activities and for which no special compensation is received. Customers who receive only brokerage services from USI Securities, including incidental investment advice from Broker-Dealer Representatives, are not considered by USI Securities to be investment advisory clients, and as such, USI Securities does not provide continuous monitoring of these brokerage customer accounts. SUMMARY OF ADVISORY SERVICES USI Securities is also registered with the Securities and Exchange Commission as a Registered Investment Adviser. When USI Securities is acting as an investment adviser (rather than as a broker-dealer), the investment advisory services provided by USI Securities to select institutional plan sponsor clients (“Institutional Clients”) includes the recommendation of an outside investment advisor, selected and made available by the outside recordkeeper, to provide either non-discretionary/3(21), or discretionary/3(38) advisory services to the plan sponsor (“Institutional Advisory Services”). USI Securities will perform any advisory service for an Institutional Client as a fiduciary as defined in the Investment Advisers Act of 1940 and will

act in good faith and with the degree of diligence, care, and skill that a prudent person rendering similar services would exercise under similar circumstances. When providing advisory services, the Firm will solely be making recommendations to the Institutional Client, and Institutional client retains full discretionary authority or control over the final investment decisions of the retirement Plan. The Institutional Client is not required to implement any recommendations made by the Firm or to otherwise conduct business through the Firm. USI Securities will not be responsible or act as a fiduciary with respect to any other functions or services rendered to the Institutional Client or the Plan by other entities or persons, including outside unaffiliated investment advisors/managers. In relation to Institutional Advisory Services, USI Securities provides investment advice insofar as it assists institutional plan sponsor clients with selecting either a non-discretionary/3(21), or discretionary/3(38) advisor, provided and made available by an outside recordkeeper, to provide advisory services to the plan sponsor. USI Securities does not formulate or directly provide investment advice on individual securities (and never has custody or discretion over client assets). As of December 31, 2023, USI Securities has $0.00 in assets under management. INSTITUTIONAL ADVSIORY SERVICES The USI Securities advisory program offers Institutional Advisory Services primarily to small business retirement plans. The program was created for emerging retirement plans with assets from $5 million to $0 and was designed to guide retirement plan trustees through complex regulatory requirements in order to meet their fiduciary obligations – in the most effective and efficient manner. USI Securities' Adviser Representatives will assist certain Institutional Clients with the selection of either a non-discretionary/3(21) advisor or discretionary/3(38) manager, who will then provide varying levels of investment guidance and advice to said Institutional Clients regarding various types of investment vehicles to be utilized in their retirement plan. In relation to the Firms Institutional Advisory Services, USI Securities provides indirect investment advice insofar as it assists institutional Clients in selecting an unaffiliated third- party investment advisory firm and an associated retirement plan custodian. USI Securities does not formulate or directly provide investment advice (and never has custody or discretion over client assets). Consequently, it also does not provide 3(38) discretionary investment management services.