Michael D. O'rourke

USI SECURITIES

Glastonbury, CT 06033

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CRD#: 1551838

Professional summary

Michael Dennis O'rourke, who also goes by Michael Dennis Orourke, Mike Orourke, is a registered financial advisor currently at USI SECURITIES, INC. located in Glastonbury, Connecticut.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 82TO, Series 99TO, Series 52TO, Series 62, SIE, Series 7, Series 6, Series 14, Series 53, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Dennis Orourke | Mike Orourke

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.

1.) ESSEX FINANCIAL - 12/1/2003 - 176 Westbrook Road, Essex, CT 06426 - Chief Compliance Officer, Supervise compliance functions for RIA, Invt Rel, IAR business, 160 hrs/mo; 130 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dennis O'rourke's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Dennis O'rourke's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 17, 2024 - Present

USI SECURITIES, INC.

Office #1: 95 Glastonbury Blvd Suite 102, Glastonbury, CT 06033

RIA

CRD#: 43793

Glastonbury, CT

Current

May 17, 2024 - Present

USI SECURITIES, INC.

Office #1: 95 Glastonbury Blvd Suite 102, Glastonbury, CT 06033

RIA

CRD#: 43793

Glastonbury, CT

Past

June 2, 2021 - December 31, 2022

THE LEADERS GROUP, INC.

CRD#: 37157

Essex, CT

Past

February 16, 2016 - April 15, 2024

ESSEX FINANCIAL SERVICES, INC.

RIA

CRD#: 127549

ESSEX, CT

Past

September 22, 2003 - August 3, 2021

ESSEX FINANCIAL SERVICES, INC.

CRD#: 127549

ESSEX, CT

Past

December 4, 1996 - December 12, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 3, 1994 - August 13, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 12, 1992 - March 9, 1994

EATON VANCE DISTRIBUTORS, INC.

CRD#: 8039

BOSTON, MA

Past

September 5, 1986 - July 21, 1992

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

USI SECURITIES, INC.

CRD#: 43793 / SEC#: 801-56578, 8-50429

RIA

Registered Investment Advisory firm - SEC (6/4/1999 Approved)

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

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(5/17/2024)

IAR

Connecticut
(5/17/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 5/17/2024

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 1/2/2023

Corporate Securities Limited Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/14/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/4/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 4/3/1997

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/3/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/21/1988

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

USI SECURITIES, INC.

CRD#: 43793 / SEC#: 801-56578, 8-50429

RIA

Registered Investment Advisory firm - SEC (6/4/1999 Approved)

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

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Contact information

Main Address

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033

Mailing Address

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033

Phone number

(860) 652-3239

Established

Delaware since 07/29/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (39 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

USI SECURITIES, INC. - RIA - FORM ADV PART 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
USIC INVESTMENT GROUP INC.	SHAREHOLDER
BOWMAN, RICHARD CHARLES	FINOP, DIRECTOR OF OPERATIONS	2356525
GRITZER, JOSEPH JOHN JR	PRESIDENT	2162679
KAPPUS, DAVID L	TREASURER	6837749
NEWBORN, ERNEST JOSHUA	DIRECTOR/SECRETARY	3154426
ROBIDOUX, MELINDA MCDONALD	CHIEF COMPLIANCE OFFICER	2848093
TREMKO, WILLIAM MICHAEL	CHIEF EXECUTIVE OFFICER	4495149

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

Michael D. O'rourke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dennis O'rourke's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Dennis O'rourke's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI SECURITIES, INC.

THE LEADERS GROUP, INC.

ESSEX FINANCIAL SERVICES, INC.

ESSEX FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

EATON VANCE DISTRIBUTORS, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

USI SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/2004

Series 63

Date: 11/6/1992

Series 82TO

Date: 5/17/2024

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 62

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/14/1994

Series 6

Date: 9/4/1986

Series 14

Date: 1/2/2023

Series 53

Date: 4/3/1997

Series 24

Date: 6/3/1994

Series 26

Date: 3/21/1988

FINRA

Current Firm

USI SECURITIES, INC.

Contact information

SEC notice filing (39 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

USI SECURITIES, INC.

TRUST BUT VERIFY

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