Niel R. Martinson

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CRD#: 1067336

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.

Niel Ray Martinson, who also goes by Niel R Martinson, was a registered financial professional .

Niel is a previously registered financial professional and started their career in finance in 1983. Niel had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 62 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Niel R Martinson

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

December 3, 2020 - August 12, 2021

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

Tomball, TX

Past

December 1, 2020 - August 12, 2021

USA FINANCIAL SECURITIES LLC

CRD#: 103857

Tomball, TX

Past

June 15, 2018 - December 3, 2020

D.H. HILL ADVISORS, INC.

RIA

CRD#: 116324

KINGWOOD, TX

Past

May 14, 2018 - December 3, 2020

D.H. HILL SECURITIES, LLLP

CRD#: 41528

KINGWOOD, TX

Past

November 15, 2017 - May 15, 2018

CALTON & ASSOCIATES, INC.

CRD#: 20999

Houston, TX

Past

May 13, 2004 - May 7, 2018

WESTPARK WEALTH ADVISORS, INC.

RIA

CRD#: 130914

SPRING, TX

Past

January 2, 2001 - December 31, 2004

IMS SECURITIES, INC.

RIA

CRD#: 35567

SPRING, TX

Past

January 2, 2001 - November 9, 2017

IMS SECURITIES, INC.

CRD#: 35567

SPRING, TX

Past

February 12, 1998 - December 31, 2000

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

January 2, 1996 - February 16, 1998

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

June 14, 1995 - December 31, 1995

IMS SECURITIES, INC.

CRD#: 35567

HOUSTON, TX

Past

April 11, 1994 - July 12, 1995

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

January 11, 1984 - April 28, 1989

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

Past

March 3, 1983 - April 27, 1983

VP DISTRIBUTORS LLC

CRD#: 3036

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".

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)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/29/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 1/5/2018

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 62

Date: 12/20/2002

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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)

FINRA licenses (51 States and Territories)

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

Name	Position	CRD#
USA FINANCIAL LLC	OWNER
BACHERT, WILLIAM CLAYTON	CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR	4576698
ENDERS, BRENT DAVID	PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004	2858719
MCCONNELL, JAMES CARROLL JR	CHIEF OPERATIONS OFFICER	4679140
MERSMAN, MARK ROBERT	CHIEF MARKETING OFFICER	4702400
THOMASON, DAWN M	CHIEF COMPLIANCE OFFICER	5275125
WALTERS, MICHAEL DAVID	CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996	2580592

Regulatory assets under management

Total Number of Accounts	1,750
AUM (Assets Under Management)	$ 301,510,438

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Niel R. Martinson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

USA FINANCIAL SECURITIES LLC

D.H. HILL ADVISORS, INC.

D.H. HILL SECURITIES, LLLP

CALTON & ASSOCIATES, INC.

WESTPARK WEALTH ADVISORS, INC.

IMS SECURITIES, INC.

IMS SECURITIES, INC.

KESTRA INVESTMENT SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

IMS SECURITIES, INC.

EQUITY SERVICES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

USA FINANCIAL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/12/1999

Series 63

Date: 4/29/1994

SIE

Date: 10/1/2018

Series 22

Date: 1/5/2018

Series 62

Date: 12/20/2002

Series 6

Date: 4/8/1994

Current Firm

USA FINANCIAL SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

USA FINANCIAL SECURITIES LLC

TRUST BUT VERIFY

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