US
Usi Securities, Inc.
SEC-registered
Insurance-Affiliated
CRD 43793
· SEC file 801-56578
· Glastonbury, CT
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ADV data as of Mar 30, 2026
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- 163
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 30
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pension and profit sharing plans | 163 | — | — |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Foreflight Llc 401(k) Profit Sharing Plan And Trust Foreflight Llc | 2024 | |
| Shopify (Usa), Inc. 401(k) Plan Shopify (Usa), Inc. | 2024 | |
| Pivot Energy, Inc. 401(k) Plan Pivot Energy, Inc. | 2024 | |
| Aerotec 401(k) Retirement Plan Aerospace Testing Engineering & Certification, Llc | 2024 | |
| Valley Perinatal Services 401(k) Plan Valley Perinatal Services, Llc | 2024 | |
| Instil Bio Retirement Plan Instil Bio, Inc. | 2024 | |
| Elevate Aviation Group Llc 401(k) Profit Sharing Plan & Trust Elevate Aviation Group Llc | 2024 | |
| Aunt Martha's Health And Wellness 403(b) Plan Aunt Marthas Health And Wellness, Inc. | 2024 | |
| 3 Md, Inc. 401(k) Plan 3 Md, Inc. | 2024 | |
| Mud Bay Retirement Plan Mud Bay, Inc. | 2024 | |
| Advanced Powder Products 401 K Plan Advanced Powder Products, Inc. | 2024 | |
| Sopheon 401(k) Profit Sharing Plan Sopheon Corporation | 2024 | |
| Star Manufacturing, Llc Profit Sharing/ 401(k) Plan And Trust Star Manufacturing, Llc | 2024 |
People (28)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Newborn, Ernest, Joshua | Director/Secretary | Oct 1998 (28y) | Less than 5% | |
| Joseph John Gritzer | President | Mar 2003 (23y) | Less than 5% | |
| Bowman, Richard Charles | Finop, Director Of Operations | Jul 2009 (17y) | Less than 5% | |
| William Michael Tremko | Chief Executive Officer | Jul 2009 (17y) | Less than 5% | |
| Kappus, David, L | Chief Financial Officer | Apr 2021 (5y) | Less than 5% | |
| Melinda Mcdonald Robidoux | Chief Compliance Officer | Apr 2021 (5y) | Less than 5% | |
| John David Fitzgerald | Registered representative | Jul 2020 (6y) | ||
| Brian Patrick Jordan | Registered representative | Aug 2020 (6y) | ||
| Michael Jason Habermann | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| Matthew A Smith | Registered representative | Aug 2021 (5y) | ||
| Krystle Ann Kaufman | Registered representative | Sep 2021 (5y) | ||
| Nicholas Ryan Moore | Registered representative | May 2022 (4y) | ||
| Bernard Peter Le Vine | Registered representative | Jul 2022 (4y) | ||
| Denise Rachelle Scher | Registered representative | Sep 2022 (4y) | ||
| Terence P Donohue | Registered representative | Feb 2023 (3y) | ||
| Rebecca Jean Hilinski | Registered representative | Jan 2024 (3y) | ||
| Brian Christopher Way | Registered representative | Jan 2024 (3y) | ||
| Michael Dennis O'rourke | Registered representative | May 2024 (2y) | ||
| Wesley Whalen Davis | Registered representative | Mar 2025 (1y) | ||
| Brendan Stewart Dailor | Registered representative | May 2025 (1y) | ||
| Jack Edward Ballinger | Registered representative | Jun 2025 (1y) | ||
| Nicholas M Ricciardi | Registered representative | Jul 2025 (1y) | ||
| Terry Wayne Spencer | Registered representative | Sep 2025 (1y) | ||
| Lisa Marie Rios | Registered representative | Nov 2025 (1y) | ||
| Blake Montgomery Stevens | Registered representative | Dec 2025 (1y) | ||
| Griffin Zahariades | Registered representative | Jan 2026 (1y) | ||
| Vincent James Pigati | Registered representative | Feb 2026 (0y) | ||
| Janet Lynn Mooney | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Usic Investment Group Inc. | Shareholder | May 2017 | A | 75% or more |
| Usir Management Llc | Class A Shareholder | May 2017 | B | GP / trustee / elected manager of Usic Investment Group Inc. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (13)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Foreflight Llc 401(k) Profit Sharing Plan And Trust | Foreflight Llc | 434 | $41.9M | 01/01/2024 |
| Shopify (Usa), Inc. 401(k) Plan | Shopify (Usa), Inc. | 2,044 | $176M | 01/01/2024 |
| Pivot Energy, Inc. 401(k) Plan | Pivot Energy, Inc. | 187 | $10.3M | 01/01/2024 |
| Aerotec 401(k) Retirement Plan | Aerospace Testing Engineering & Certification, Llc | 97 | $10.8M | 01/01/2024 |
| Valley Perinatal Services 401(k) Plan | Valley Perinatal Services, Llc | 112 | $3.7M | 01/01/2024 |
| Instil Bio Retirement Plan | Instil Bio, Inc. | 14 | $8.3M | 01/01/2024 |
| Elevate Aviation Group Llc 401(k) Profit Sharing Plan & Trust | Elevate Aviation Group Llc | 124 | $7.1M | 01/01/2024 |
| Aunt Martha's Health And Wellness 403(b) Plan | Aunt Marthas Health And Wellness, Inc. | 519 | $4.1M | 01/01/2024 |
| 3 Md, Inc. 401(k) Plan | 3 Md, Inc. | 563 | $23.5M | 01/01/2024 |
| Mud Bay Retirement Plan | Mud Bay, Inc. | 427 | $6.2M | 01/01/2024 |
| Advanced Powder Products 401 K Plan | Advanced Powder Products, Inc. | 182 | $4.8M | 01/01/2024 |
| Sopheon 401(k) Profit Sharing Plan | Sopheon Corporation | 86 | $21.3M | 01/01/2024 |
| Star Manufacturing, Llc Profit Sharing/ 401(k) Plan And Trust | Star Manufacturing, Llc | 145 | $13.2M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • BUNDLED CONSULTING AND ADVISORY FEES
Services
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗