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MG

Michael M. Garone

Some features on this profile are disabled
CRD#: 1044194
MG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Martin Garone, who also goes by Mike Garone, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Garone

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 6, 2011 - February 28, 2017

USA FINANCIAL SECURITIES LLC

RIA
CRD#: 103857
HOLMDEL, NJ
Past

November 19, 2010 - February 28, 2017

USA FINANCIAL SECURITIES LLC

BD
CRD#: 103857
HOLMDEL, NJ
Past

September 19, 2005 - December 31, 2008

USI SECURITIES, INC.

BD
CRD#: 43793
MATAWAN, NJ
Past

March 5, 2003 - August 31, 2005

CONSOLIDATED FINANCIAL INVESTMENTS, INC.

BD
CRD#: 18810
CLAYTON, MO
Past

May 3, 1999 - March 30, 2001

AMERICAN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 44803
NEW YORK, NY
Past

May 18, 1998 - January 1, 1999

ABSA SECURITIES, INC.

BD
CRD#: 24174
Past

January 24, 1992 - March 25, 1997

SERFIN SECURITIES,INC.

BD
CRD#: 16683
NEW YORK, NY
Past

July 11, 1991 - October 21, 1991

ADLER COLEMAN & CO., INC.

BD
CRD#: 16104
Past

April 24, 1990 - October 21, 1991

ADLER COLEMAN & CO., INC.

BD
CRD#: 16104
NEW YORK, NY
Past

August 26, 1988 - March 8, 1990

CM&M FUTURES INC.

BD
CRD#: 15845
NEW YORK, NY
Past

June 22, 1984 - April 2, 1986

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
Past

August 17, 1982 - November 16, 1984

ZELLER, TORYKIAN & CO. INC.

BD
CRD#: 10041

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT

CRD#: 103857 / SEC#: 801-68276, 8-52342

RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)
California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)
Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/5/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/10/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/13/1990
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/27/1990
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/5/1990
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/1/1981
Financial and Operations Principal Examination

Current Firm

UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT

CRD#: 103857 / SEC#: 801-68276, 8-52342

RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)
California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)
Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
6020 East Fulton, Ada, MI 49301
Mailing Address
6020 East Fulton, Ada, MI 49301
Phone number
(888) 407-8198
Established
Delaware since 07/03/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
166

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

USA FINANCIAL SECURITIES PART 2A BROCHURE (9/22/2025)
USA FINANCIAL SECURITIES WRAP FEE BROCHURE (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
USA FINANCIAL LLCOWNER
BACHERT, WILLIAM CLAYTONCHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR4576698
ENDERS, BRENT DAVIDPRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/20042858719
MCCONNELL, JAMES CARROLL JRCHIEF OPERATIONS OFFICER4679140
MERSMAN, MARK ROBERTCHIEF MARKETING OFFICER4702400
THOMASON, DAWN MCHIEF COMPLIANCE OFFICER5275125
WALTERS, MICHAEL DAVIDCHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/19962580592

Regulatory assets under management

Total Number of Accounts1,750
AUM (Assets Under Management)$ 301,510,438

Disclosures

Regulatory Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

USA FINANCIAL SECURITIES LLC

CRD#: 103857

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